Statement For Self-Certified Sophisticated Investor

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 self-certified sophisticated investor for the purposes of the Financial Services and Markets Act 2000 (Financial Promotion) Order 2005.

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

(a) 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 certificate issue date;

(b) I have made more than one investment in an unlisted company in the two years prior to the certificate issue date;

(c) I am working or have worked in the two years prior to the certificate issue date, in a professional capacity in the private equity sector, or in the provision of finance for small and medium enterprises;

(d) I am currently, or have been in the two years prior to the certificate issue date, a director of a company with an annual turnover of at least £1 million.

I accept that I can lose my property and other assets from making investment decisions based on financial promotions.

I am aware that it is open to me to seek advice from someone who specialises in advising on investments (including unregulated investment schemes).

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

If you are a self-certified sophisticated 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 Self-Certified Sophisticated Investor:
NoYes

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