Statement for Certified High Net Worth Individual

As part of the self-certification process the individual must acknowledge in writing an understanding of the requirements for being treated as a High Net Worth Individual or Sophisticated Investor.

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

I am a certified high net worth individual because at least one of the following applies:

a) I had, during the financial year immediately preceding the date below, an annual income to the value of £100,000 or more;
b) 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:
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 Markets Act 2000 (Regulated Activities) Order 2001;
or
iii) 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 accept that I can lose my property and other assets from making investment decisions based on financial promotions.

I understand that this means:

a) I can receive financial promotions that may not have been approved by a person authorised by the Financial Services Authority;
b) the content of such financial promotions may not confirm to rules issued by the Financial Services 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 Services Authority; or
ii) the Financial Ombudsman Scheme;
e) I may have no right to seek compensation from the Financial Services Compensation Scheme.

I am aware that it is open to me to seek advice from someone who specialises in advising on investments.

If you are a High Net Worth Investor and accept the above conditions then please complete the following form:

I have read and understood the statement:
NoYes

I confirm that I am a High Net Worth Investor:
NoYes

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