(Article 15(2))

In the self-declaration to be provided under Article 15(2)(b), each member of the senior management shall state whether the relevant person falls under any of the following categories:

(a) has been convicted of any criminal offence;

(b) has been subject to or has been notified of any proceedings of a disciplinary nature brought by a regulatory body or of a criminal nature;

(c) has been subject to any adverse finding in civil proceedings in connection with the provision of financial services, misconduct, fraud or the management of a legal entity;

(d) has to his or her knowledge been subject to any existing or previous investigation by any regulatory authority or government bodies or agencies;

(e) has been involved with an undertaking whose registration or authorisation was withdrawn by a regulatory body;

(f) has been refused the right to carry on activities which require registration or authorisation by a regulatory body;

(g) has been involved in the management of an undertaking which has gone into insolvency, liquidation or administration while this person was connected to the undertaking or within a year of the person ceasing to be connected to the undertaking;

(h) has been involved with an undertaking which was investigated or suspended by a regulatory body and which resulted in an enforcement action;