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Members Prerequisites Questionnaire
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From time to time the Board of Directors will ensure that no person who intends to join HD Faculty™ in the capacity of a financial services related faculty or the Investment Committee has any criminal records, or has committed an offence or is undergoing current charge, indictment or proceeding for an offence in respect to his or her profession, be it direct or indirect.
Investment Bank Faculty Team Confidential Prerequisites Questionnaire
Prior to joining HD Faculty's Financial Services Faculty, the successful candidate is required to address a number of issues in respect to their previous professional activities. Such issues include, but are not limited to those questions cited-below.
Securities Regulatory Authority
1.
Securities Regulatory Authority. Has a securities regulatory authority ever:
a.
Prohibited or disqualified you under securities or corporate legislation from acting as a director or officer of an issuer?
b.
Refused to register or license you to trade securities or exchange contracts or restricted, suspended or cancelled your registration or licence?
c.
Refused to issue a receipt for a prospectus or other offering document solely or partially as a result of your being associated with a particular issuer?
d.
Issued a cease trading or similar order against you directly?
e.
Issued a direct order that denied you the right to use any statutory prospectus or registration exemptions?
f.
Issued an order that required you to pay an administrative penalty?
2.
Self-Regulatory Organization. Have you been reprimanded, suspended, fined or otherwise been the subject of any disciplinary proceedings of any nature or kind whatsoever, in any jurisdiction, by a self-regulatory organization?
3.
Current Proceedings. Are you now, in any jurisdiction, the subject of:
a.
A notice of hearing or similar notice issued by a securities regulatory authority?
b.
A proceeding by a self-regulatory organization?
c.
Settlement discussions or negotiations for settlement with any securities regulatory authority or self-regulatory organization?
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