Two organisation charts - one showing the full current B ownership structure of the regulated entity, and a second 20 showing the full proposed change to the ownership of the regulated entity. The organisation charts must detail for all entities in the ownership structure: their full names their jurisdiction of establishment whether regulated, and if so the jurisdiction of regulation and name of regulator(s) in percentage terms the ownership and voting rights identifying where significant influence exists. If the proposed controller has been formed within the B preceding 12 months, a copy of the 21 incorporation/formation documents. Audited financial statements of the proposed controller for B the last 3 years, if available, or management accounts for 22 the last 3 years. B Details regarding the proposed controller’s group solvency, 23 where applicable. If this proposed change in controller will result in a change B to the business plan for the regulated entity, please 24 provide an updated business plan, setting out the proposed direction of the regulated entity’s business together with the financial projections for the next three years. The business plan must be sufficiently detailed to make it clear that the proposed acquirer has sufficient resources to effectively support the regulated entity within the requirements of the regulatory regime. Details of how the proposed acquisition will be financed. B Please provide a copy of any relevant documentation to 25 support the information provided. A completed Part C of this form for each individual who is B a controller, managing director or chief executive of the 26 proposed corporate controller. DISCLOSURES The disclosures that are required in respect of the following questions are with regard to the proposed controller and all entities under its control and in respect of all jurisdictions. If the answer is yes to any of these questions, please provide full particulars on the continuation sheet. *delete as appropriate
B 20 Two organisation charts - one showing the full current ownership structure of the regulated entity, and a second showing the full proposed change to the ownership of the regulated entity. The organisation charts must detail for all entities in the ownership structure: their full names their jurisdiction of establishment whether regulated, and if so the jurisdiction of regulation and name of regulator(s) in percentage terms the ownership and voting rights identifying where significant influence exists. B 21 If the proposed controller has been formed within the preceding 12 months, a copy of the incorporation/formation documents. B 22 Audited financial statements of the proposed controller for the last 3 years, if available, or management accounts for the last 3 years. B 23 Details regarding the proposed controller’s group solvency, where applicable. B 24 If this proposed change in controller will result in a change to the business plan for the regulated entity, please provide an updated business plan, setting out the proposed direction of the regulated entity’s business together with the financial projections for the next three years. The business plan must be sufficiently detailed to make it clear that the proposed acquirer has sufficient resources to effectively support the regulated entity within the requirements of the regulatory regime. B 25 Details of how the proposed acquisition will be financed. Please provide a copy of any relevant documentation to support the information provided. B 26 A completed Part C of this form for each individual who is a controller, managing director or chief executive of the proposed corporate controller. DISCLOSURES The disclosures that are required in respect of the following questions are with regard to the proposed controller and all entities under its control and in respect of all jurisdictions. If the answer is yes to any of these questions, please provide full particulars on the continuation sheet. *delete as appropriate
fp3controllerquestionnaire.docx