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Home > Human Resources > Job Opportunities > Members Prerequisites Questionnaire

Faculty Members Prerequisites Questionnaire
Page: 1 - 2 - 3
  1. (c)
    A reprimand, suspension, fine or disciplinary action of the issuer by a self-regulatory organization?
    (d)
    A current proceeding against the issuer by a self-regulatory organization?
    (e)
    Any other regulatory authority authorized to licence the sale of real estate, insurance or mutual funds refusing, restricting, suspending or cancelling the registration or licensing of the issuer to sell or trade real estate, insurance or mutual fund products?
    (f)
    a civil court :
       
    (i)
    Rendering a judgement or ordering garnishment in a claim against the issuer, be it in whole or in part, on fraud, theft, misrepresentation, insider trading, unregistered trading, unregistered distributions, failure to disclose material facts or changes or similar conduct?
       
    (ii)
    Issuing an injunction against the issuer by consents or otherwise in a claim described in question (i), above?
    (g)
    A current civil claim against the issuer 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?
    (h)
    The issuance of a petition in bankruptcy against the issuer or a voluntary assignment in bankruptcy?
    (i)
    A proposal by the issuer under any legislation relating to bankruptcy or insolvency?
    (j)
    A proceeding, arrangement, proposal or compromise by the issuer with creditors?
    (k)
    The appointment of a receiver, receiver-manager or trustee to hold the issuer’s assets?
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