D&O Questionnaire

Definition:

A questionnaire sent to directors and officers as part of the Due Diligence process for a Public Offering, a Private Placement or in preparation for filing an Annual Report (on Form 10-K, Form 20-F or Form 40-F) or Proxy Statement in order to obtain information for disclosure purposes. Such information includes securities ownership, executive compensation, directorships in other companies, and disclosure of any securities law violations, convictions for fraud, or other events that are Material to the fitness of the director or officer to serve on the Board of Directors (BoD) or as an executive.

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