Investor Status
High Net Worth Individual
I/We declare that I/We am/are a certified high net worth individual for the purposes of the Financial Services and Markets Act 2000 (Financial Promotion) Order 2001.
I/We understand that this means:
1. I/We can receive financial promotions that may not have already been approved by a person authorised by the Financial Conduct Authority;
2. The content of such financial promotion may not conform to rules issued by the Financial Conduct Authority;
3. By signing this statement I may lose significant rights;
4. I/We may have no right to complain to either of the following (I). The Financial Conduct Authority; or ii. The Financial Ombudsman Scheme;
5. I/We may have no right to seek compensation from the Financial Services Compensation Scheme.
I am a certified high net worth individual because at least one of the following applies:
1. I/We had, during the financial year immediately preceding the date below, an annual income to the value of £100,000 or more;
2. I/We held, throughout the financial year immediately preceding the date below, net assets to the value of £250,000 or more. Net assets for the purpose do not include:
I. The property which is my primary residence or any loan secured on that residence;
II. Any rights of mine under a qualifying contract of insurance within the meaning of the Financial Services and market Act 2000 (Regulated Activities) Order 2001; or
III. Any benefits (in the form of pensions or otherwise) which are repayable 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/We accept that I/We can lose my property and other assets from making investments decision based on financial promotions.
I/We am aware that it is open to me to seek advice from someone who specialises in advising on
investments.
Self Certified Investor
I/We hereby declare that I/We am/are a self-certified sophisticated investor for the purposes of the
Financial Services and Markets Act 2000 Financial Promotion Order 2005.
I/We understand that this means:
1. I/We can receive financial promotions that may not have been approved by a person authorised
by the Financial Conduct Authority;
2. The Content of such financial promotions may not conform to rules issued by the Financial
Conduct Authority;
3. By signing this statement I may lose significant rights;
4. I/We may have no right to complain to either of the following I. The Financial Conduct Authority;
or ii. The Financial Ombudsman Scheme;
5. I/We may have no right to seek compensation from the Financial Services Compensation
Scheme.
I am a self-certified sophisticated investor because at least one of the following applies:
1. I/We 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/We have made more than one investment in an unlisted company in the two years prior to the
date below;
3. I/We 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/We 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/We accept that I/We can lose my property and other assets from making investment decisions based on financial promotions. I/
We are aware that it is open to me to seek advice from someone who specialises in advising on
investments.