HNWI SI Statements

Statements for Self-Certified High Net Worth Individuals or Sophisticated Investors

I declare that I am a Certified High Net Worth Individual or Sophisticated Investor for the purposes of the Financial Services and Markets Act 2000 (Financial Promotion) Order 2005.

I understand that this means: 

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

    – The Financial Conduct Authority; or

    – The Financial Ombudsman Scheme;

    I may have no right to seek compensation from the Financial Services Compensation Scheme.

 

Statement For Self-Certified Sophisticated Investor

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 six months prior to this date; 
  2. I have made more than one investment in an unlisted company in the two years prior to this date; 
  3. I am working, or have worked in the two years prior to this date, 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 this date, a director of a company with an annual turnover of at least £1 million.

Statement For Self-Certified High Net Worth Individual

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:
  • The property which is my primary residence or any loan secured on that residence; 
  • Any rights of mine under a qualifying contract of insurance within the meaning of the Financial Services and Markets Act 2000 (Regulated Activities) Order 2005; 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 dependents are), or may be, entitled.
The content of this promotion has not been approved by an authorised 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.
[Article 48(4) Financial Services and Markets Act 2000 (Financial Promotion) Order 2005]
Please note that as a responsible company we require the self-certification of either a High Net Worth Investor or Sophisticated Investor statement prior to issuing any detailed information by way of an Investment Memorandum.
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