I'm not going to mention the company name or anything, but I work for a fulfillment/printing/direct-mail company... We recently have been nearing completion of a contract with a financial company who would like us to take call-center calls for seminar event reservation setup... No big deal right? Most of the work has been setting up screen-pops for our net-phone system, purchasing new toll-free numbers, and training the call-center people to take these reservation request calls... Fun stuff!
So today, my boss handed me a questionnaire that I'm supposedly supposed to fill out. The thing is, I need to offer up private information and my signature, and it's not even from my company, it's from the company that we're contracting for...
It asks for all my name, address and such info, my current and previous employer, and here is what the questionnaire looks like...
1. Are you now or have you ever been employed in an investment-related position?
2. Have you ever been convicted of or plead guilty or nolo contendere to a felony?
3. Have you ever been convicted of or plead guilty or nolo contendere to a misdemeanor involving investments or an investment related business or any fraud, false statements, bribery, perjury or conspiracy to commit any such offense?
4. Has the securities and exchange commission futures trading Commission, other Federal, or state or foreign financial regulatory authority ever:
a. found you to have made a false statement or omission?
b. found you to have been involved in a violation of its regulations or statues
c. Found you to have been cause of an investment-related business having its authorization to do business denied, suspended, revoked or restricted?
d. Entered an order against you for an investment-related activity?
e. Imposed a civil money penalty on you, or ordered you to cease any investment-related activity?
5. Have you been subject to any final order of state securities commission, state authority that supervises banks, savings associations, credit unions, state insurance commission, federal banking agency or National Credit Union Administration, or any agency or office performing similar functions) ever:
a. Barred you from association with an entity regulated by such commission, agency or office?
b. Found you to have violated any laws or regulations that prohibit fraudulent, manipulative or deceptive conduct?
6. Has any self-regulatory organization (e.g. NASD) or commodities exchange ever:
a. Found you to have made a false statement or omission?
b. Found you to have been involved involved in a violation of its rules, other than a violation designated as a "minor rule violation"?
c. Found you to have been a cause of an investment-related business having its authorization to do business denied, suspended, revoked or restricted?
d. Disciplined you by expelling or suspending you from membership, barring your association with its members, or restricting your activities?
I affirm that my answers are true and complete to the best of my knowledge.
Signed____________________ Date________
Confidential and proprietary information of XXXXXXX XXXXX, Inc. Completed forms may not be used, copied or distributed by any unauthorized person.
This company, the one with the x'ed out name at the bottom, is the company we're going to be taking calls for, not my employer. Am I required to sign anything from them???
WTH, I've never had to sign a contract with a company I didn't work for.
Help me, internet lawyers!
So today, my boss handed me a questionnaire that I'm supposedly supposed to fill out. The thing is, I need to offer up private information and my signature, and it's not even from my company, it's from the company that we're contracting for...
It asks for all my name, address and such info, my current and previous employer, and here is what the questionnaire looks like...
1. Are you now or have you ever been employed in an investment-related position?
2. Have you ever been convicted of or plead guilty or nolo contendere to a felony?
3. Have you ever been convicted of or plead guilty or nolo contendere to a misdemeanor involving investments or an investment related business or any fraud, false statements, bribery, perjury or conspiracy to commit any such offense?
4. Has the securities and exchange commission futures trading Commission, other Federal, or state or foreign financial regulatory authority ever:
a. found you to have made a false statement or omission?
b. found you to have been involved in a violation of its regulations or statues
c. Found you to have been cause of an investment-related business having its authorization to do business denied, suspended, revoked or restricted?
d. Entered an order against you for an investment-related activity?
e. Imposed a civil money penalty on you, or ordered you to cease any investment-related activity?
5. Have you been subject to any final order of state securities commission, state authority that supervises banks, savings associations, credit unions, state insurance commission, federal banking agency or National Credit Union Administration, or any agency or office performing similar functions) ever:
a. Barred you from association with an entity regulated by such commission, agency or office?
b. Found you to have violated any laws or regulations that prohibit fraudulent, manipulative or deceptive conduct?
6. Has any self-regulatory organization (e.g. NASD) or commodities exchange ever:
a. Found you to have made a false statement or omission?
b. Found you to have been involved involved in a violation of its rules, other than a violation designated as a "minor rule violation"?
c. Found you to have been a cause of an investment-related business having its authorization to do business denied, suspended, revoked or restricted?
d. Disciplined you by expelling or suspending you from membership, barring your association with its members, or restricting your activities?
I affirm that my answers are true and complete to the best of my knowledge.
Signed____________________ Date________
Confidential and proprietary information of XXXXXXX XXXXX, Inc. Completed forms may not be used, copied or distributed by any unauthorized person.
This company, the one with the x'ed out name at the bottom, is the company we're going to be taking calls for, not my employer. Am I required to sign anything from them???
WTH, I've never had to sign a contract with a company I didn't work for.
Help me, internet lawyers!
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