The Financial Conduct Authority (FCA) requires that you declare the type of investor that you are,
this is to protect your rights when making investments.
Please select from the following investor types that best describes you.
Investor Description
Anyone can become an Everyday Investor. You just need to agree to not make more than 10% of your investments
(including savings, stocks, ISAs, bonds and property excluding your primary residence) into company shares
that cannot easily be sold. This is why the Financial Conduct Authority refers
to them as "Restricted Investors". Everyday Investors are the 'crowd' and the majority of investors will fall into this broad category.
Investor Statement
I make this statement so that receive promotional communications relating to unlisted shares and unlisted debt
securities as a restricted investor. I declare that i qualify as a restricted investor because:
- in the twelve months preceding 2nd October 2014, I have not invested more than 10% of my net assets is unlisted
shares or unlisted debt securities; and
- I undertake that in the twelve months following 2nd October 2014, I will not invest more than 10% of my assets is unlisted
shares or unlisted debt securities.
Net assets for these purposes do not include:
- the property which is my primary residence or any money raised through a loan secured on that property;
- any rights of mine under a qualifying contract of insurance; or
- 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 entitle.
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.
By joining I am agreeing to the condition set out in the investor statement above.
Investor Description
I am retail client of a firm that has assessed me as suitable under COBS9 to receive financial promotions. I am aware that it is open to me to seek advice from an authorised person who specialises in advising on unlisted shares an unlisted debt securities.
Investor Statement
I am a client of a firm that has assessed me as suitable to receive financial promotions. I accept that the investments to which the promotions 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 advise from an authorised person who specialises in advising on unlisted shares and unlisted debt securities.
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.
By joining I am agreeing to the condition set out in the investor statement above.
Investor Description
This group is for people who have invested in more that one unlisted company in the last two years or been a member of a business angel syndicate or network for at least six months.
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 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 the property invested.
I am a self-certified sophisticated investor because at least one of the following applies:
- I am a member of a network or syndicate of business angels and have been so for at least the immediately preceding six month period;
- I have made more than one investment in an unlisted company, in the two years prior to 30th September 2014;
- I am working, or have worked in the two years prior to 30th September 2014, in a professional capacity in the private equity sector, or in the provision of finance for small and medium enterprises;
- I am currently, or have been in the two years prior to 30th September 2014, 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 to seek advice from an authorised person who specialises in advising on non-mainstream pooled investments.
By joining I am agreeing to the condition set out in the investor statement above.
Investor Description
If you earn more than £100,000 a year or have net assets more tha £250,000, the High Net Worth category is probably applicable to you.
Investor Statement
I make this statement so that I can receive promotional communications which are exempt from the restriction of 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 financial year, an annual income to the value of £100,000 or more;
- I held, throughout the financial year immediately preceding financial year, net assets to the value of £250,000 or more.
Net assets for these purposes do not include:
- the property which is my primary residence or any money raised through a loan secured on that property.
- any rights of mine under a qualifying contract of insurance; or
- 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 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.
By joining I am agreeing to the condition set out in the investor statement above.
