The applicant or any member of its group has been made aware, whether formally or informally, that it is the subject of a current or pending investigation, review or disciplinary procedure by any regulatory authority, professional body, Financial Services Regulator, self-regulatory organisation, regulated exchange, clearing house, government body, agency, or any other officially appointed inquiry.
The applicant or any member of its group has been convicted (including where a conviction has been completed, removed from record, or otherwise spent, as the case may be) or found guilty by any court of a competent jurisdiction of any criminal offence.
The applicant or any member of its group in the last ten years has been the subject of disciplinary procedures by a government body or agency or any Financial Services Regulator, self-regulatory organisation, or other professional body.
The applicant or any member of its group in the last ten years has contravened any provision of financial services legislation or of rules, regulations, statements of principle, or codes of practice made under it or made by a self-regulatory organisation, Financial Services Regulator, regulated exchange, or clearing house.
The applicant or any member of its group in the last ten years has been refused or had a restriction placed on the right to carry on a trade, business, or profession requiring a licence, registration, or other permission.
The applicant or any member of its group in the last ten years has received an adverse finding or an agreed settlement in a civil action by any court or tribunal of competent jurisdiction.
The applicant or any member of its group in the last ten years has been censured, disciplined, publicly criticised, or the subject of any investigation or enquiry by any regulatory authority, Financial Services Regulator, or officially appointed inquiry.