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Self Certification


CAPITAL AT RISK. There are risks to all forms of investing, particularly in unregulated, complex, non-readily realisable and/or non-transferrable securities like bonds, loan notes and unquoted equity investments. Forecasts are not guarantees and performance may vary. Tax treatment depends on individual circumstances and may change. These investments are NOT covered by the Financial Services Compensation Scheme (FSCS) and clients will NOT have access to the Financial Ombudsman Service (FOS). All investors should seek independent professional advice before deciding to invest. Please read our risk warning before deciding to invest.
 

SELF CERTIFICATION – DECLARE YOURSELF NOW

AS PART OF OUR REGULATORY OBLIGATION TO THE FINANCIAL SERVICES AND MARKETS ACT 2000, YOU ARE REQUIRED TO DECLARE THE TYPE OF INVESTOR THAT YOU ARE. REGISTERING DOES NOT COMMIT YOU TO ANY INVESTMENT.

 

HIGH-NET WORTH INDIVIDUAL

I have an annual income of more than £100,000 or savings of more than £250,000

VIEW AND SIGN STATEMENT

SOPHISTICATED INVESTOR

I have previous experience of similar investments or other alternative investments.

VIEW AND SIGN STATEMENT

YOU MUST BE ABLE TO DECLARE THAT YOU QUALIFY AS AN ELIGIBLE INVESTOR AND MEET THE FOLLOWING DEFINITION BELOW.

PLEASE READ AND SIGN THE DECLARATION. ONCE SUBMITTED, A MEMBER OF THE TEAM WILL BE IN TOUCH TO DISCUSS YOUR DESIRED INVESTMENT.

Appendix A

STATEMENT FOR CERTIFIED HIGH NET WORTH INDIVIDUAL

I make this statement so that I can receive promotional communications which are exempt from the restriction on promotion of speculative illiquid securities. The exemption relates to high net worth investors and I declare that I qualify as such because at least one of the following applies to me:

I had, throughout the financial year immediately preceding the date below, an annual income to the value of £100,000 or more. Annual income for these purposes does not include money withdrawn from my pension savings (except where the withdrawals are used directly for income in retirement).

I held throughout the financial year immediately preceding the date below, net assets to the value of £250,000 or more.

Net assets for these purposes do not include:

  1. the property which is my primary residence or any money raised through a loan secured on that property; or
  2. any rights of mine under a qualifying contract of insurance; or
  3. any benefits (in the form of pensions or otherwise) which are payable on the termination of my service or on my death or retirement and to which I am (or my dependants are), or may be, entitled; or
  4. any withdrawals from my pension savings (except where the withdrawals are used directly for income in retirement).

Appendix B

STATEMENT FOR CERTIFIED HIGH NET WORTH INDIVIDUAL I declare that I am a self-certified sophisticated investor for the purposes of the restriction on promotion of speculative illiquid securities. I understand that this means:

  1. I can receive promotional communications made by a person who is authorised by the Financial Conduct Authority which relate to investment activity in speculative illiquid securities;
  2. the investments to which the promotions will relate may expose me to a significant risk of losing all of the property invested.

I am a self-certified sophisticated investor because at least one of the following applies: Net assets for these purposes do not include:

  1. I am a member of a network or syndicate of business angels and have been so for at least the last six months prior to the date below;
  2. I have made more than one investment in an unlisted company in the two years prior to the date below;
  3. I am working, or have worked in the two years prior to the date below, in a professional capacity in the private equity sector, or in the provision of finance for small and medium enterprises;
  4. I am currently, or have been in the two years prior to the date below, a director of a company with an annual turnover of at least £1 million.