The content of this promotion has not been approved by an authorized person within the meaning of the Financial Services and Markets Act 2000. Reliance on this promotion for the purpose of engaging in any investment activity may expose an individual to a significant risk of losing all of the property or other assets invested.

Self Certification

You must be either: (A) High Net Worth Individual, (B) Sophisticated Investor or (C) Professional Investor.

Before you will be able to receive any further material you must certify your investor status, if you do not meet these criteria, you must not take any further action.

This investment is not covered by the Financial Services Compensation Scheme (FSCS).

Under FCA rules this investment cannot be promoted to retail investors and must only be offered to qualifying high net worth, sophisticated investors and professional investors as detailed below.

A High Net Worth Investor is an individual who has signed, within the last 12 months, a statement of the following terms:

 

HIGH NET WORTH INVESTOR STATEMENT

 

I make this statement so that I can receive promotional communications which are exempt from the restriction on 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 the financial year immediately preceding the date below, 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 Annual income for these purposes does not include money withdrawn from my pension savings (except where the withdrawals are used directly for income in retirement).

 

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.

 

Signature:


Date:

A Self-Certified Sophisticated Investor is an individual who has signed, within the last 12 months, a statement of the following terms:

 

SELF-CERTIFIED SOPHISTICATED INVESTOR STATEMENT

 

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

 

(i) 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;
(ii) 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) 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;
(b) I have made more than one investment in an unlisted company in the two years prior to the date below;
(c) 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 finance for small and medium enterprises;
(d) 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 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 seek advice from someone who specialises in advising on non-mainstream pooled investments.

 

Signature:


Date:

I declare that I am a Professional Investor and I fall into one of the categories below:

(a) an authorised person;

(b) an exempt person where the communication relates to a controlled activity which is a regulated activity in relation to which the person is exempt;

(c) any other person –
(i) whose ordinary activities involve him in carrying on the controlled activity to which the communication relates for the purpose of a business carried on by him; or
(ii) who it is reasonable to expect will carry on such activity for the purposes of a business carried on by him;
(d) a government, local authority (whether in the United Kingdom or elsewhere) or an international organisation;

(e) a person (“A”) who is a director, officer or employee of a person (“B”) falling within any of sub-paragraphs (a) to (d) where the communication 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.

(f) For the purposes of paragraph (1), a communication may be treated as made only to or directed only at investment professionals even if it is also made to or directed at other persons to whom it may lawfully be communicated.

(g) Paragraph (1) does not apply to any communication in respect of a controlled claims management activity.

By pressing Confirm, you are certifying that the relevant statement as set out above applies to you and by pressing Confirm this will have the same effect as if you had signed such a statement in writing.

What type of Investor are you