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has been involved with an undertaking whose registration or authorisation was withdrawn by a regulatory body;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

(i)

has been investigated, suspended or sanctioned by a regulatory body;

(j)

has been disqualified from acting as a director, disqualified from acting in any managerial capacity, dismissed from employment or other appointment in an undertaking as a consequence of allegations of misconduct or malpractice.