This form is a due diligence questionnaire that pertains to the preparation and filing of the Registration Statement. It is necessary that the company be supplied with answers to the questions in this questionnaire from directors, officers (and prospective directors and officers) of the company and certain beneficial owners of any class of "voting securities" of the company.
Chicago, Illinois Questionnaire for Directors, Officers, and Certain Other Individuals Public Offering: Detailed Description and Types 1. Introduction to Chicago, Illinois Questionnaire for Directors, Officers, and Certain Other Individuals Public Offering: The Chicago, Illinois Questionnaire for Directors, Officers, and Certain Other Individuals Public Offering is a comprehensive document used during public offerings in Chicago, Illinois. It helps assess the suitability of directors, officers, and other relevant individuals for their respective roles in public offerings. This questionnaire aims to gather relevant information about these individuals to ensure regulatory compliance, financial integrity, and smooth operations of such offerings. 2. Key Aspects Covered in the Chicago, Illinois Questionnaire: a. Personal Information: This section requires individuals to provide their name, contact information, date of birth, social security number, and other identifying details. b. Professional Background: Directors, officers, and others need to provide a detailed account of their professional history, including their current and previous positions, educational qualifications, certifications, and industry memberships. c. Financial History: The questionnaire scrutinizes the financial integrity of the individuals by requiring them to disclose any bankruptcies, foreclosures, legal judgments, or financial disputes they have been involved in. d. Criminal History: Individuals are required to disclose any criminal convictions or ongoing legal proceedings against them to assess their suitability for the roles in public offerings. e. Regulatory History: This section focuses on any disciplinary actions, investigations, or suspensions imposed by regulatory bodies like the Securities and Exchange Commission (SEC) or the Financial Industry Regulatory Authority (FINRA). f. Conflict of Interest: Individuals must disclose any potential conflicts of interest that may arise from their involvement in the public offering or their relationships with other relevant parties. g. Risk Assessment: The questionnaire includes questions about risk management, compliance policies, and internal controls to ensure that individuals understand their responsibilities and obligations in public offerings. 3. Types of Chicago, Illinois Questionnaire for Directors, Officers, and Certain Other Individuals Public Offering: a. Corporate Directors Questionnaire: This variant of the questionnaire specifically caters to individuals who are nominated or serving as directors of corporations involved in public offerings. b. Executive Officers Questionnaire: This questionnaire is designed for individuals holding executive-level positions, such as Chief Executive Officers (CEOs), Chief Financial Officers (CFOs), and Chief Operating Officers (COOs), in companies participating in public offerings. c. Key Employees Questionnaire: This questionnaire applies to specific key employees who play crucial roles in the public offering process, such as managers, supervisors, or individuals responsible for compliance and risk management. d. Other Individuals Questionnaire: This variant of the questionnaire serves as a catch-all category, encompassing individuals not falling into the director, officer, or key employee roles, but still deemed relevant for the public offering process, such as consultants, legal advisors, or critical stakeholders. In conclusion, the Chicago, Illinois Questionnaire for Directors, Officers, and Certain Other Individuals Public Offering is a comprehensive document that helps assess the suitability and integrity of individuals involved in public offerings. Its various types cater to different roles and responsibilities within the offering process, ensuring compliance and transparency.Chicago, Illinois Questionnaire for Directors, Officers, and Certain Other Individuals Public Offering: Detailed Description and Types 1. Introduction to Chicago, Illinois Questionnaire for Directors, Officers, and Certain Other Individuals Public Offering: The Chicago, Illinois Questionnaire for Directors, Officers, and Certain Other Individuals Public Offering is a comprehensive document used during public offerings in Chicago, Illinois. It helps assess the suitability of directors, officers, and other relevant individuals for their respective roles in public offerings. This questionnaire aims to gather relevant information about these individuals to ensure regulatory compliance, financial integrity, and smooth operations of such offerings. 2. Key Aspects Covered in the Chicago, Illinois Questionnaire: a. Personal Information: This section requires individuals to provide their name, contact information, date of birth, social security number, and other identifying details. b. Professional Background: Directors, officers, and others need to provide a detailed account of their professional history, including their current and previous positions, educational qualifications, certifications, and industry memberships. c. Financial History: The questionnaire scrutinizes the financial integrity of the individuals by requiring them to disclose any bankruptcies, foreclosures, legal judgments, or financial disputes they have been involved in. d. Criminal History: Individuals are required to disclose any criminal convictions or ongoing legal proceedings against them to assess their suitability for the roles in public offerings. e. Regulatory History: This section focuses on any disciplinary actions, investigations, or suspensions imposed by regulatory bodies like the Securities and Exchange Commission (SEC) or the Financial Industry Regulatory Authority (FINRA). f. Conflict of Interest: Individuals must disclose any potential conflicts of interest that may arise from their involvement in the public offering or their relationships with other relevant parties. g. Risk Assessment: The questionnaire includes questions about risk management, compliance policies, and internal controls to ensure that individuals understand their responsibilities and obligations in public offerings. 3. Types of Chicago, Illinois Questionnaire for Directors, Officers, and Certain Other Individuals Public Offering: a. Corporate Directors Questionnaire: This variant of the questionnaire specifically caters to individuals who are nominated or serving as directors of corporations involved in public offerings. b. Executive Officers Questionnaire: This questionnaire is designed for individuals holding executive-level positions, such as Chief Executive Officers (CEOs), Chief Financial Officers (CFOs), and Chief Operating Officers (COOs), in companies participating in public offerings. c. Key Employees Questionnaire: This questionnaire applies to specific key employees who play crucial roles in the public offering process, such as managers, supervisors, or individuals responsible for compliance and risk management. d. Other Individuals Questionnaire: This variant of the questionnaire serves as a catch-all category, encompassing individuals not falling into the director, officer, or key employee roles, but still deemed relevant for the public offering process, such as consultants, legal advisors, or critical stakeholders. In conclusion, the Chicago, Illinois Questionnaire for Directors, Officers, and Certain Other Individuals Public Offering is a comprehensive document that helps assess the suitability and integrity of individuals involved in public offerings. Its various types cater to different roles and responsibilities within the offering process, ensuring compliance and transparency.
Para su conveniencia, debajo del texto en español le brindamos la versión completa de este formulario en inglés. For your convenience, the complete English version of this form is attached below the Spanish version.
