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Home > Human Resources > Job Opportunities > Members Prerequisites Questionnaire

Members Prerequisites Questionnaire
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Civil Proceedings
4
.
Judgement, Garnishment and Injunctions. Has a civil court in any jurisdiction:
(a)
Rendered a judgement or ordered garnishment against you in a civil claim based in whole or in part on fraud, theft, deceit, misrepresentation, insider trading, unregistered trading, unregistered distributions, failure to disclose material facts or changes or similar conduct?
(b)
Issued an injunction or similar ban against you by consent or otherwise in a civil claim described in question 4(a)?
5.
.
Current Claims. Are you now the subject, in any jurisdiction, of a civil claim that is based in whole or in part on actual or alleged fraud, theft, deceit, misrepresentation, insider trading, unregistered trading, unregistered distributions, failure to disclose material facts or changes or similar conduct on your part?
6.
.
Settlement Agreement. Have you entered into a settlement agreement, in any jurisdiction, in a civil action that involved actual or alleged fraud, theft, deceit, misrepresentation, insider trading, unregistered trading, unregistered distributions, failure to disclose material facts or changes or similar conduct on your part?
7.
.
Proceedings against Issuer. To the best of your knowledge, were you a director, officer, promoter, insider or control person of an issuer, in any jurisdiction, at the time of events that led to any of the following:
(a)
The issuer pleading guilty to, or being found guilty of, an offence based in whole or in part on fraud, theft, deceit, misrepresentation, insider trading, unregistered trading, unregistered distributions, failure to disclose material facts or changes or similar conduct?
(b)
a securities regulatory authority :
    (i)
Refusing, restricting, suspending or cancelling the registration or licensing of the issuer to trade securities?
    (ii)
Issuing a cease trading or similar order “against” the issuer, other than an order “for”?
    (iii)
Issuing an order that denied the issuer the right to use any statutory exemptions?
    (iv)
Issuing an order that required the issuer to pay an administrative penalty?
    (v)
Taking any other proceedings against the issuer?
    (vi)
Issuing a current notice of hearing or similar notice against the issuer?
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