Self Certify

High Net Worth Individual ("HNWI") & Sophisticated Investor Self-Certification

As set out by by the Financial Conduct Authority (“FCA”) under the Financial Services and Markets Act 2000 (FSMA).

Individuals that are able to self-certify as either High Net Worth Individuals or Sophisticated Investors are able to receive non-mainstream pooled investment opportunities and make investments through their own decision,

Name

What type of investor are you?

High Net Worth Investor, defined as having either:

a) an annual income of at least £100,000
OR
b) Net assets of £250,000 or more. Net assets do NOT include your primary residence

2 Sophisticated Investor, defined as having either:

a) Made more than one investment in an unlisted company in the previous two years
OR
Being a director of a company with a turnover over £1 million

High Net Worth Investor Statement

Please read carefully and accept the statement below

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 this financial year, 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 Annual income for these purposes does not include money withdrawn from my pension savings (except where the withdrawals are used directly for income in retirement) OR
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 may be, entitled; or
(d) any withdrawals from my pension savings (except where the withdrawals are used directly for income in retirement)

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 an authorised person who specialises in advising on non-mainstream pooled investments.

I accept the High Net Worth Statement

Sophisticated Investor Statement
Please read carefully and accept the statement below

I declare that I am a self-certified sophisticated investor for the purposes of the restriction on the promotion of non-mainstream pooled investments.

I understand that this means:

I can receive promotional communications made by a person who is authorised by the Financial Conduct Authority which relate to investment activity in non-mainstream pooled investments;
The investments to which the promotions will relate may expose me to a significant risk of losing all of the property invested.

I am a self-certified sophisticated investor because at least one of the following applies:
A) Made more than one investment in an unlisted company in the previous two years
OR
B) Director of a company with a turnover over £1 million

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 an authorised person who specialises in advising on non-mainstream pooled investments.

I accept the High Net Worth Statement

Self Certify

High Net Worth Individual ("HNWI") & Sophisticated Investor Self-Certification

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