This Application Form reflects the information requested in Guideline 15 of the EBA Guidelines, for the purpose of assessing natural persons who have or propose to have a qualifying holding in an applicant firm. All applications must be typed. For each section, the applicant firm must answer all questions and must provide any information or documentation requested. In the event that a question does not apply, the applicant firm must provide an explanation as to why he/she considers this to be the case. All responses and documents provided must reference the relevant section of the Application Form e.g., a response to question 5.1 of Section 5: Details of Financial Position & Source of Funding for Participation in the Applicant Firm, should be included in a section titled Section 5: Details of Financial Position & Source of Funding for Participation in the Applicant Firm, with each question answered in sequence referencing the relevant question. For example: Section 5: Details of Financial Position & Source of Funding for Participation in the Applicant Firm 5.1(b) details on access to financial markets, including details of financial instruments to be issued; ……………………………. 5.1(c) information on the use of borrowed funds, including the name of the lenders and details of the facilities granted, such as maturities, terms, security interests and guarantees, as well as information on the source of revenue to be used to repay such borrowings; etc. ………………………………… For each Section where a separate document is requested, applicant firms should ensure that these documents, along with any other accompanying documents, are clearly marked and referenced in accordance with the relevant Section numbers as indicated in 5. above. Where possible, all responses to questions provided should be in MSWord (or equivalent) format rather than scanned versions. Please submit the completed form (and any separate sheets, if relevant) with the firm’s application for authorisation/registration. The Central Bank may process personal data provided by you in order to fulfil its statutory functions or to facilitate its business operations. Any personal data will be processed in accordance with the requirements of data protection legislation. Any queries concerning the
This Application Form reflects the information requested in Guideline 15 of the EBA Guidelines, for the purpose of assessing natural persons who have or propose to have a qualifying holding in an applicant firm. All applications must be typed. For each section, the applicant firm must answer all questions and must provide any information or documentation requested. In the event that a question does not apply, the applicant firm must provide an explanation as to why he/she considers this to be the case. All responses and documents provided must reference the relevant section of the Application Form e.g., a response to question 5.1 of Section 5: Details of Financial Position & Source of Funding for Participation in the Applicant Firm, should be included in a section titled Section 5: Details of Financial Position & Source of Funding for Participation in the Applicant Firm, with each question answered in sequence referencing the relevant question. For example: Section 5: Details of Financial Position & Source of Funding for Participation in the Applicant Firm 5.1(b) details on access to financial markets, including details of financial instruments to be issued; ……………………………. 5.1(c) information on the use of borrowed funds, including the name of the lenders and details of the facilities granted, such as maturities, terms, security interests and guarantees, as well as information on the source of revenue to be used to repay such borrowings; ………………………………… etc. For each Section where a separate document is requested, applicant firms should ensure that these documents, along with any other accompanying documents, are clearly marked and referenced in accordance with the relevant Section numbers as indicated in 5. above. Where possible, all responses to questions provided should be in MSWord (or equivalent) format rather than scanned versions. Please submit the completed form (and any separate sheets, if relevant) with the firm’s application for authorisation/registration. The Central Bank may process personal data provided by you in order to fulfil its statutory functions or to facilitate its business operations. Any personal data will be processed in accordance with the requirements of data protection legislation. Any queries concerning the
application-for-natural-person-with-a-qualifying-holding.docx