New York State Department of Financial Services
One State Street
New York, NY 10004
Consultant / Monitorship Committee
CONSULTANT / MONITORSHIP APPLICATION
To act as Consultant / Monitor pursuant to and in accordance with the terms of the Consent Order under New York Banking Law Section 44 entered into as of June 19, 2013 between Bank of Tokyo Mitsubishi UFJ, Ltd. (“BTMU”) and the New York State Department of Financial Services.
- Name of Applicant.
- Point(s) of Contact (including Address, Telephone, and E-mail).
- Brief Description of Applicant’s Business.
- Applicant, Personnel, and Conflict Information. Provide names, positions, and relation to Applicant (employee, retained expert, consultant, etc.) of all persons who will participate in the consultancy / monitorship.
- List all prior contacts Applicant and any of those individuals listed above have had with BTMU.
- List all prior contacts any relatives of Applicant and those individuals listed above have had with BTMU.
- Provide any additional information regarding the relationship of Applicant or those individuals listed above with BTMU that might be viewed as affecting Applicant’s independence or giving rise to a conflict of interest, including but not limited to, financial, business or customer relationships, stock ownership, or prior consummated or contemplated business transactions with the Applicant or any person or firm previously associated with the Applicant.
- Prior Relevant Experience or Expertise. Identify any prior experience or expertise that particularly qualifies the Applicant to serve as Consultant / Monitor in this matter, including, in particular any dealings or involvement with banking practices, procedures or issues.
- Prior Consultant / Monitorship Experience, if any. List consultancies / monitorships or similar assignments performed by the Applicant in the last five years, including (a) specific identification of the matter; (b) the names and positions of key personnel of the Applicant who participated in the assignment; (c) the name of the entity that was subject of the consultancy / monitorship; (d) a brief description of the scope of the assignment; and (e) references.
- Additional Information. Please feel free to submit any additional pertinent information not already captured on this form. Information that cannot readily be included in this application may be submitted separately.
[Name, signature and position] Date