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High Net Worth Investor
I declare that I am a certified high net worth individual for the purposes of the Financial Services and Market Act (Financial Promotion) Order 2005.
I understand that this means:
- I can receive financial promotions that may not have been approved by a person authorised by the Financial Conduct Authority;
- The content of such financial promotions may not conform to rules issued by the Financial Conduct Authority;
- By signing this statement I may lose significant rights;
- I may have no right to complain to either of the following:
- The Financial Conduct Authority
- The Financial Ombudsman Scheme
- I may have no right to seek compensation from the Financial Services Compensation Scheme.
High Net Worth Investor Statement:
I declare that I am a certified high net worth investor because at least one of the following applies:
- I had, during the financial year immediately preceding the date below, an annual income to the value of £100,000 or more;
- 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:
- The property which is my primary residence, or any loan secured on that residence;
- Any rights of mine under a qualifying contract of insurance within the meaning of the Financial Services and Markets Act 2000 (Regulated Activities) Order 2001; or
- 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.
I make this statement so that I can receive financial promotional communications which are exempt from the restriction on promotion of non-mainstream pooled investments. Such exemption relates to certified high net worth individuals and I declare I qualify as such.
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 other property invested. I am aware that it is open to me to seek advice from someone who specialises in advising on investments.
Sophisticated Investor
I declare that I am a self-certified sophisticated investor for the purposes of the Financial Services and Market Act (Financial Promotion) Order 2005.
I understand that this means:
- I can receive financial promotions that may not have been approved by a person authorised by the Financial Conduct Authority;
- The content of such financial promotions may not conform to rules issued by the Financial Conduct Authority;
- By signing this statement, I may lose significant rights;
- I may have no right to complain to either of the following:
- The Financial Conduct Authority
- The Financial Ombudsman Scheme
- I may have no right to seek compensation from the Financial Services Compensation Scheme.
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 a 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 make this statement so that I can receive financial promotional communications which are exempt from the restriction on promotion of non-mainstream pooled investments. Such exemption relates to self-certified sophisticated investors and I declare I qualify as such.
I accept that I can lose my property and other assets from making investment decisions based on financial promotions.
Investment Professional
I declare that I am an investment professional for the purposes of the Financial Services and Market Act (Financial Promotion) Order 2005.
I understand that this means:
- I can receive financial promotions that may not have been approved by a person authorised by the Financial Conduct Authority;
- The content of such financial promotions may not conform to rules issued by the Financial Conduct Authority;
- By signing this statement I may lose significant rights;
- I may have no right to complain to either of the following:
- The Financial Conduct Authority
- The Financial Ombudsman Scheme
- I may have no right to seek compensation from the Financial Services Compensation Scheme.
I am an investment professional because at least one of the following applies:
- I am an authorised person;
- I am an exempt person where the communication relates to a controlled activity which is a regulated activity in relation to which the person is exempt;
- I am a person:
(i) Whose ordinary activities involve in carrying on the controlled activity to which the communication relates for the purpose of a business carried on by myself; or
(ii) Who it is reasonable to expect will carry on such activity for the purposes of a business carried on by myself; - A government, local authority (whether United Kingdom or elsewhere) or an international organisation;
- A person ("A") who is a director, officer or employee of a person ("B") falling within any of (a) to (d) where the financial promotion is made to A in that capacity and where A's responsibilities when acting in that capacity involve him in the carrying on by B of controlled activities.
High Net Worth Company
I declare that we are a high net worth company for the purposes of the Financial Services and Market Act (Financial Promotion) Order 2005.
I understand that this means:
- We can receive financial promotions that may not have been approved by a person authorised by the Financial Conduct Authority;
- The content of such financial promotions may not conform to rules issued by the Financial Conduct Authority;
- By signing this statement I may lose significant rights;
- We may have no right to complain to either of the following:
- The Financial Conduct Authority
- The Financial Ombudsman Scheme
- We may have no right to seek compensation from the Financial Services Compensation Scheme.
We are a high net worth company because at least one of the following applies. We are:
- (a) a body corporate which has, or which is a member of the same group as an undertaking which has, a called-up share capital or net assets of not less than;
- (i) if the body corporate has more than 20 members or is a subsidiary undertaking of an undertaking which has more than 20 members, £500,000;
- (ii) otherwise, £5 million;
- (b) any unincorporated association or partnership which has net assets of not less than £5 million;
- (c) the trustee of a high value trust being a trust where the aggregate value of the cash and investments which form part of the trust’s assets (before deducting the amount of its liabilities):
- (i) is £10 million or more; or
- (ii) has been £10 million or more at anytime during the year immediately preceding the date on which the communication in question was first made or directed;
- (d) any person (“A”) whilst acting in the capacity of director, or employee of a person (“B”) falling within any of sub-paragraphs (a) to (c) where A’s responsibilities, when acting in that capacity, involve him in B’s engaging in investment activity;
- (e) any person to whom the communication may otherwise lawfully be made.
We make this statement so that we can receive financial promotional communications which are exempt from the restriction on promotion of non-mainstream pooled investments. Such exemption relates to certified high net worth company and I declare that we qualify as such.
We accept that the investments to which the promotions will relate may expose me to a significant risk of losing all of the money or other property invested.
We are aware that it is open to us to seek advice from someone who specialises in advising on investments.