Form Cacl 280.151 - Facing Page For Application For A License Under The Capital Access Company Law Page 6
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10b.
Any person that controls, directly or indirectly, the election of 25 percent or more
of the members of the board of directors, executive committee, or other policy
committee of the applicant.
c.
Any person or entity that has the ability to control the management of the
applicant.
3.
A description of any disciplinary actions filed against any other license under which the
applicant conducts its business.
4.
A description of any adverse judgments entered in court actions filed against the
applicant based upon allegations of fraud, misrepresentation, or dishonesty in the
conduct of the applicant’s business.
5.
A listing of all material judgments filed against the applicant, and the disposition of each
material judgements.
6.
A listing of all bankruptcy petitions filed by the applicant for the preceding five years,
and the disposition of each bankruptcy petition.
7.
Has any person listed in Item 4 violated* any provision of the Corporate Securities Law
of 1968 (or the rules of the Commissioner of Corporations thereunder), the Securities
Act of 1933, the Securities Exchange Act of 1934 , the Small Business Investment
Company Act of 1958, the Investment Company Act of 1940 (or any rules of the
Securities and Exchange Commission), or the Business and the Industrial Development
Corporation Law (or the rules of the Commissioner of Financial Institutions thereunder).
If the answer is “yes”, set forth below the name(s) of the state(s) or foreign country(ies),
the specific provision(s) of the law(s) and rule(s), and the date(s) and disposition(s) of
the violation(s). (Attach additional sheets, if necessary.)
_______________________________________________________________________
_______________________________________________________________________
_______________________________________________________________________
* For the purposes of this question, “violated” means that the applicant: (1) either has
been convicted or pled nolo contendere to a felony or misdemeanor; (2) has been held
liable in a civil action by final judgment; (3) is or has been permanently or temporarily
enjoined by order, judgment or decree of any court of competent jurisdiction; and (4) is
or has been subject to any order of a commission or administrator under any law or rule
referred to in this question. If the conviction has been overturned or reversed on appeal,
provide a copy of the order and any other documents necessary to explain the final
disposition.
8.
A list of officers, directors, partners, members, trustees, employees, or other persons
owning or controlling, directly or indirectly, 10 percent or more of the outstanding
interests or equity securities of the applicant who has, within the last 10 years:
a.
Been convicted of, or plead nolo contendere to, a crime; or
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