Sophisticated Investor​
I am a Self Certified Sophisticated Investor
High Net Worth Individual
I am a High Net Worth Individual
Certificate for execution by self-certified sophisticated investors

I declare that I am a self-certified sophisticated investor for the purposes of the restriction on promotion of non-readily realisable securities. I understand that this means:

  • (i) I can receive promotional communications made by a person who is not authorised by the Financial Conduct Authority which relate to investment activity in non-readily realisable securities.
  • (ii) 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:

  • (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 to seek advice from someone who specialises in advising on non-readily realisable securities.

Certificate for execution by High Net Worth Individuals

I make this statement so that I can receive promotional communications which are exempt from the restriction on the promotion of non-readily realisable securities. 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.
  • 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.
  • (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.

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-readily realisable securities.