.
1.
Qualifications. The Commission deems the following
qualifications essential in a Court Appointee, subject to the court's
discretion. At a minimum, an individual or entity seeking to be a Preapproved
Court Appointee shall demonstrate the following qualifications consistent with
the regulatory requirements for licensees. An applicant may seek a waiver of
these qualifications under
935 CMR 501.850. The
failure to maintain these qualifications may be a basis for disqualification.
a.
Suitability. An
applicant must demonstrate suitability under
935 CMR
501.801:
Table A.
b.
Ownership and Control
Limits. A person or entity named as a Court Appointee shall, prior
to and as a result of being a Court Appointee, be in compliance with the
control limitations set forth in
935 CMR
501.050(1)(b) or any other
limitations on licensure set forth in
935 CMR
501.000.
2.
Application Process for
Preapproved Court Appointees. The Commission or its delegee may
preapprove, recommend, disqualify, or discipline Preapproved Court Appointees.
A person or entity seeking to be a Preapproved Court Appointee shall pay a fee
established in
935 CMR 501.005(7)(a)
and submit the following information and
make the necessary disclosures:
a.
Qualifications. An applicant shall demonstrate the
qualifications set forth in 935 CMR 501.104(3)(d)1.
b.
Credentials. An
applicant shall demonstrate sufficient training, knowledge and experience, to
ensure a Licensee under their or its supervision shall comply with Commissions
statutory and regulatory requirements.
c.
Affiliated Individuals or
Entities. An applicant shall identify any person or entity that
may exert control or influence over the Preapproved Court Appointee, whether or
not such individuals or entities are can exercise the authority of a Court
Appointee.
d.
Engaged
Individuals or Entities. An applicant shall identify an person or
entity that the applicant intends to engage in conducting the work of a Court
Appointee, whether or not such individuals or entities are exercising the
authority of a Court Appointee.
e.
Financial Information. An applicant shall make such
financial disclosures necessary to determine its ability to serve as a Court
Appointee.
f.
Licenses. The applicant shall submit any professional or
occupational licenses and represent that these licenses are in good
standing.
g.
Good
Standing. If the applicant is an entity, it shall submit a valid
Certificate of Good Standing issued each by the Secretary of the Commonwealth
and the Department of Revenue.
h.
Limitations. The applicant shall identify any
limitations on the ability to serve as a Court Appointee including, but not
limited to, capacity, qualifications, credentials, conflicts of interest, and
financial requirements.
i. An
applicant shall submit any additional information the Commission or its delegee
may request, in its sole discretion.
j.
Suitability. An
applicant shall demonstrate suitability to operate a Licensee. If the applicant
is an entity, each individual exercising the authority of a Court Appointee
shall demonstrate suitability as provided in
935 CMR
501.000. An applicant shall demonstrate suitability
by:
i. Submitting to a criminal background
check in accordance with
935 CMR
501.030,
935 CMR
501.101 and
935
CMR 501.105; or
ii. Submitting an attestation under the pains
and penalties of perjury that the applicant is suitable to operate a
Licensee.
3.
Application requirements in this 935 CMR 501.104(3)(d)2., shall apply only to
persons and entities acting as a Court Appointee.
4.
Renewal. In order
to remain as Preapproved Court Appointee, each Preapproved Court Appointee, on
the anniversary of their preapproval, shall annually attest to the Commission
under the pains and penalties of perjury that there has been no material change
to the information and disclosures submitted as part of the initial application
or provide updated information and disclosures with respect to those that have
changed, and pay the fee identified in
935 CMR
501.005(7)(b).