Attachment C Legal Disclosure Certification.pdf
PDF 184 KB Posted
- Attached to
- RFP 48-26 2026 Liquidity Facility for CP Program
- Solicitation number
- BD-26-1206-40000-40000-126836
- Issued by
- Massachusetts
About this file
This is a Legal Disclosure Certification template for RFP 48-26, issued by the Massachusetts Bay Transportation Authority (MBTA) for firms seeking to provide underwriting services and liquidity facilities for the MBTA's Commercial Paper Program. Prospective firms must submit a Statement of Qualifications and respond to disclosure requirements regarding licensing, registration, disciplinary actions, and litigation history. The certification process establishes a pre-qualified pool of firms eligible to provide liquidity facilities to the State Treasurer's Office. Firms must submit annual certifications no later than 30 days after June 30, the MBTA's fiscal year end, confirming continued compliance with minimum qualifications and any updates to legal proceedings or regulatory status.
The certification requires execution by a Managing Director authorized to bind the firm and establishes mandatory annual renewal requirements. Failure to submit the required certification within one week of the specified deadline may result in suspension from the pre-qualified pool, with reinstatement requiring a formal request. By executing the certification, firms affirm they continue to meet all required minimum qualifications as detailed in the current Request for Qualifications and agree to provide ongoing updates regarding legal proceedings, licenses, registration status, and other material information relevant to their fitness to serve as liquidity facility providers.
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Text version
RFP 48-26
Attachment C
Legal Disclosure Certification
[INSERT NAME OF FIRM]
LEGAL DISCLOSURE CERTIFICATION
I, [Insert Person’s name], Managing Director, certify as follows:
I am a Managing Director of [Insert Name of Firm] (the “firm”) and am authorized to execute this Certification on its behalf.
The firm is interested in providing underwriting services to the Massachusetts Bay Transportation Authority (“MBTA”) and has submitted a Statement of Qualifications to the Massachusetts Bay Transportation Authority in order to be considered for placement in a pool of firms which may provide such services.
In the Statement of Qualifications, the firm has responded to questions regarding Disclosure, Licensing, Registration, Disciplinary Action and Litigation, as specified, in connection with providing a line of credit (Liquidity Facilities) for the MBTA’s Commercial Paper Program.
The firm agrees to provide a signed Legal Disclosure Certification, in the form presented in this document, annually no later than 30 days after June 30, the MBTA’s fiscal year end, every year in which the firm remains a pre-qualified provide liquidity facilities to the State Treasurer’s Office regarding the information submitted in, including information about legal proceedings, licenses and registration, etc. I understand that if the firm fails to submit the mandatory annual certification within one week of the required date, the firm may be suspended from the pool and would be required to request reinstatement.
I certify that I have reviewed the requirements for updating the MBTA regarding legal proceedings as outlined in the Request for Qualifications as well as the minimum qualifications for maintaining good standing, and I agree, on behalf of the firm, to fulfill the requirements outlined therein. I further certify, on behalf of the firm, that it continues to meet the required minimum qualifications as detailed in the current version of its Request for Qualifications.
[NAME OF FIRM]
(signature)
[NAME]
Managing Director
[DATE]
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