EXECUTION CERTIFICATE FOR SELF-CERTIFIED SOPHISTICATED INVESTORS
I declare that I am a certified sophisticated investor for the purposes of the Financial Services and Markets Act 2000 (Financial Promotion) Order 2005.
1) I understand this means:
(a) I can receive financial promotions that have not been approved by a person authorised by the Financial Conduct Authority;
(b) the content of such financial promotions may not conform to rules issued by the Financial Conduct Authority;
(c) by signing this statement I may lose significant rights;
(d) I may have no right to complain to either the Financial Conduct Authority or the Financial Ombudsman Scheme; and
(e) I may have no right to seek compensation from the Financial Services Compensation Scheme.
2) I am a 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 today’s date;
(b) I have made at least one investment in an unlisted security in the previous two years prior to today’s date;
(c) I am working, or have worked in the two years prior to today’s date, in a professional capacity in the private equity sector, or in the provision of finance for small and medium enterprises; or
(d) I am currently, or have been in the two years prior to today’s date, a director of a company with an annual turnover of at least £1 million.
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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.
confirmation of certificate