eligibility

Self-Certify

L
eligibility

HIGH NET WORTH INVESTOR STATEMENT

I make this statement so that I can receive promotional communications which are exempt from the restriction on the promotion of non-mainstream pooled investments. The exemption relates to certified 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 Annual income for these purposes does not include money withdrawn from my pension savings (except where the withdrawals are used directly for income in retirement)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:

(a) the property which is my primary residence or any money raised through a loan secured on that property; or

(b) any rights of mine under a qualifying contract of insurance; or

(c) 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 maybe, entitled; or

(d) any withdrawals from my pension savings (except where the withdrawals are used directly for income in retirement).

I declare that I am a certified high net worth individual for the purposes of the Financial Services and Markets Act 2000 (Financial Promotion) Order 2005. I understand this means:

a) I can receive financial promotions that may not have been approved by a person authorised by the Financial Conduct Authority;

b) The content of such financial promotions may not conform to rules issued by the Financial Conduct Authority;

c) By signing this statement I may lose significant rights;

d) I may have no right to complain to either of the following-­‐ (i)the Financial Conduct Authority; or (ii)the Financial Ombudsman Scheme;

e) I may have no right to seek compensation from the Financial Services Compensation Scheme.

I accept that the investments to which the promotions will relate may expose me to a significant risk of losing all of the money or property invested. I am aware that it is open to me to seek advice from an authorised person who specialises in advising on non-mainstream pooled investments.

    eligibility

    SELF-CERTIFIED SOPHISTICATED INVESTOR STATEMENT

    I am a self-certified sophisticated investor because at least one of the following applies:

    • 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;
    • I have made more than one investment in an unlisted company in the two years prior to the date below;
    • 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;
    • 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

      I declare that I am a certified self certified sophisticated individual for the purposes of the Financial Services and Markets Act 2000 (Financial Promotion) Order 2005. I understand this means:

      a) I can receive financial promotions that may not have been approved by a person authorised by the Financial Conduct Authority;

      b) The content of such financial promotions may not conform to rules issued by the Financial Conduct Authority;

      c) By signing this statement I may lose significant rights;

      d) I may have no right to complain to either of the following-­‐ (i)the Financial Conduct Authority; or (ii)the Financial Ombudsman Scheme;

      e) I may have no right to seek compensation from the Financial Services Compensation Scheme.

    I accept that the investments to which the promotions will relate may expose me to a significant risk of losing all of the money or property invested. I am aware that it is open to me to seek advice from someone who specialises in advising on non-mainstream pooled investments.