Monthly Archives: December 2014

Statement for Self-certified Sophisticated Investor (Financial Promotions)

By | Self Certified Sophisticated Investor | No Comments

I declare that I am a self-certified sophisticated investor for the purposes of the Financial Services and Markets Act (Financial Promotion) Order 2001.

I understand that this means:

  1. I can receive financial promotions that may not have been approved by a person authorised by the Financial Services Authority;
  2. The content of such financial promotions may not conform to rules issued by the Financial Services Authority;
  3. By signing this statement I may lose significant rights;
  4. I may have no right to complain to either of the following –
    1. The Financial Services Authority; or
    2. The Financial Ombudsman Scheme;
  5. 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 –

  1. 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;
  2. I have made more than one investment in an unlisted company in the two years prior to the date below;
  3. 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;
  4. 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 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.

Signature

Date

Statement for Certified High Net Worth Individual (Financial Promotions)

By | Certified High Net Worth | No Comments

I declare that I am a certified high net worth individual for the purposes of the Financial Services and Markets Act 2000 (Financial Promotion) Order 2001.

I understand that this means:

  1. I can receive financial promotions that may not have been approved by a person authorised by the Financial Services Authority;
  2. The content of such financial promotions may not conform to rules issued by the Financial Services Authority;
  3. By signing this statement I may lose significant rights;
  4. May have no right to complain to either of the following –
    1. The Financial Services Authority; or
    2. The Financial Ombudsman Scheme;
  5. I 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 had, during the financial year immediately preceding the date below, an annual income to the value of £100,000 or more;
  2. 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 –
    1. The property which is my primary residence or any loan secured on that residence;
    2. 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
    3. 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 am aware that it is open to me to seek advice from someone who specialises in advising on investments.

Signature

Date