ANNEX I
Information about the effective direction of the applicant credit institution
1. Personal individual details and information on good repute, honesty, integrity, knowledge, skills, experience, and details and information on independence of mind and time commitment, as follows:
the person’s full name and, where different, name at birth;
the person’s gender, place and date of birth, address and contact details, nationality, and personal identification number or copy of an ID card or equivalent;
details of the position held or to be held by the person, including whether the position is executive or non-executive, the start date or planned start date and duration of mandate, and a description of the person’s key duties and responsibilities;
a curriculum vitae containing details of education and experience (including professional experience, academic qualifications, other relevant training), including the name and nature of all organisations for which the person has worked and the nature and duration of the functions performed, in particular highlighting any activities within the scope of the position sought relevant to banking or management experience;
a list of reference persons including contact information, preferably from employers in the banking or financial services sector, including their full name, institution, position, telephone number, email, nature of the professional relationship and information about whether any non-professional relationship exists or existed with this individual;
history, including all of the following:
criminal records and relevant information on criminal investigations and proceedings, relevant civil and administrative cases and disciplinary actions, including disqualification as a company director, bankruptcy, insolvency and similar procedures, through an official certificate or, where such certificate does not exist, any reliable source of information concerning the absence of criminal convictions, investigations and proceedings;
a statement of whether criminal proceedings are pending or the person or any organisation managed by him or her has been involved as a debtor in insolvency proceedings or a comparable proceeding;
information about investigations, enforcement proceedings or sanctions by a supervisory authority which the individual has been directly or indirectly involved in;
information about refusal of registration, authorisation, membership or licence to carry out a trade, business or profession, or the withdrawal, revocation or termination of registration, authorisation, membership or licence, or expulsion by a regulatory or government body or by a professional body or association;
a description of all financial and non-financial interests that could create potential conflicts of interest, including, but not limited to:
any financial interests, including loans, shareholdings, guarantees or security interests, whether granted or received, and non-financial interests or relationships, including close relations such as spouse, registered partner, cohabitant, child, parent or other relation with whom the person shares living accommodation, between the person or his or her close relatives or any company that the person is closely connected with, and the applicant credit institution, its parent undertaking or subsidiaries, including any members of the management body, the head of an internal control function or the chief financial officer, or any person holding a qualifying holding in the applicant credit institution;
whether or not the person conducts any business or has any commercial relationship, or has had such relationship over the past 2 years, with any of the persons listed in point (f), or is involved in any legal proceedings with any such persons;
whether or not the person and his or her close relatives have any competing interests with the applicant credit institution, its parent undertaking or its subsidiaries;
whether or not the person is being proposed on behalf of a significant shareholder or member with a qualifying holding and, where so, the identity of such shareholder or member;
any financial obligations to the applicant credit institution, its parent or its subsidiaries;
any positions of national or local political influence held over the past 2 years;
where a material conflict of interest is identified, a statement of how that conflict was satisfactorily mitigated or remedied, including a reference to the relevant part of the institution’s conflicts of interest policy or any bespoke conflict management or mitigation arrangements;
details to show that the person has sufficient time to commit to the mandate, including:
the estimated minimum time, per year and per month, that the person will devote to the performance of his or her functions within the applicant credit institution;
a list of the predominantly commercial mandates that the person holds and whether Article 91(4) of Directive 2013/36/EU applies;
where the privileged counting rules apply, an explanation of any synergies that exist between the companies;
a list of mandates which are pursing predominantly non-commercial activities or are set up for the sole purposes of managing the economic interests of the person concerned;
the size of the companies or organisations where the mandates referred to in point (iv) are held, including total assets, whether or not the company is listed and the number of employees of those companies or organisations;
a list of any additional responsibilities associated with the mandates referred to in point (v) of this point (g), including chairing a committee;
the estimated time in days per year dedicated to each mandate;
the number of meetings per year dedicated to each mandate.
2. A description of any committee of the management body that is planned at the time of the application as a credit institution, including its members and powers.
3. The results of any suitability assessment of each person performed by the applicant credit institution, including the following information:
the relevant board minutes;
the suitability assessment or document;
a statement of whether or not the individual has been assessed as having the requisite experience and, if not, details of the training plan imposed, including the content, provider and date by which the training plan will be completed.
4. A statement regarding the applicant credit institution’s overall assessment of the collective suitability of the management body, including relevant board minutes or suitability assessment report or documents.
5. A description of how the diversity of qualities and competences was taken into account when selecting the members of the management body.