Client Registration

To register with us we need to categorise you.
Please review the available categories below.


Statements for Certified High Net Worth Individuals (“HNWI”)

A. Relevance of these statements
I make this statement so that I can receive promotional communications which are exempt from the restrictions on promotion of non-readily realisable securities and non-mainstream pooled investments. The exemption relates to certain high net worth investors.

I also declare that I am a certified high net worth individual 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; or
  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 Conduct Authority; or
    2. ) the Financial Ombudsman Scheme
  5. I may have no right to seek compensation from the Financial Services Compensation Scheme

B. Criteria for 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:-
    1. ) the property which is my primary residence or any money raised through a loan secured on that property;
    2. ) any rights of mine under a qualifying contract of insurance; 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.
    4. any withdrawals from my pension savings (except where the withdrawals are used directly for income in retirement).

C. Acknowledgements

Statements for Self-Certified Sophisticated Investors

A. Relevance of these statements
I declare that I am a self-certified sophisticated investor for the purposes of the restriction on promotion of non-readily realisable securities and 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-readily realisable securities or non-mainstream pooled investments as the case may be.

I also declare that I am a self-certified 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; or
  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 Conduct Authority; or
    2. ) the Financial Ombudsman Scheme
  5. I may have no right to seek compensation from the Financial Services Compensation Scheme

B. Criteria 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 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.

C. Acknowledgements

A Professional Client is a client who is not designated as a Retail Client as per the FCA Conduct of Business Handbook https://www.handbook.fca.org.uk/handbook/COBS/3/5.html

Each of the following is a Professional Client unless and to the extent it is an Eligible Counterparty or is given a different categorisation:

  1. an entity required to be authorised or regulated to operate in the financial markets. The following list includes all authorised entities carrying out the characteristic activities of the entities mentioned, whether authorised by an EEA State or a third country and whether or not authorised by reference to a directive:
    1. a credit institution;
    2. an investment firm;
    3. any other authorised or regulated financial institution; d) an insurance company;
    4. a collective investment scheme or the management company of such a scheme;
    5. a pension fund or the management company of a pension fund;
    6. a commodity or commodity derivatives dealer;
    7. a local;
    8. any other institutional investor;
  2. in relation to MiFID or equivalent third country business a large undertaking meeting two of the following size requirements on a company basis:
    1. balance sheet total of EUR 20,000,000;
    2. net turnover of EUR 40,000,000;
    3. own funds of EUR 2,000,000;
  3. in relation to business that is not MiFID or equivalent third country business a large undertaking meeting any of the following conditions:
    1. a body corporate (including a limited liability partnership) which has (or any of whose holding companies or subsidiaries has) (or has had at any time during the previous two years) called up share capital or net assets of at least £5 million (or its equivalent in any other currency at the relevant time); 

    2. an undertaking that meets (or any of whose holding companies or subsidiaries meets) two of the following tests:
      1. a balance sheet total of EUR 12,500,000;
      2. a net turnover of EUR 25,000,000;
      3. an average number of employees during the year of 250;
    3. a partnership or unincorporated association which has (or has had at any time during the previous two years) net assets of at least £5 million (or its equivalent in any other currency at the relevant time) and calculated in the case of a limited partnership without deducting loans owing to any of the partners;
    4. a trustee of a trust (other than an occupational pension scheme, SSAS, personal pension scheme or stakeholder pension scheme) which has (or has had at any time during the previous two years) assets of at least £10 million (or its equivalent in any other currency at the relevant time) calculated by aggregating the value of the cash and designated investments forming part of the trust's assets, but before deducting its liabilities;
    5. a trustee of an occupational pension scheme or SSAS, or a trustee or operator of a personal pension scheme or stakeholder pension scheme where the scheme has (or has had at any time during the previous two years):
      1. at least 50 members; and
      2. assets under management of at least £10 million (or its equivalent in any other currency at the relevant time);
  4. a national or regional government, a public body that manages public debt, a central bank, an international or supranational institution (such as the World Bank, the IMF, the ECB, the EIB) or another similar international organisation;
  5. another institutional investor whose main activity is to invest in financial instruments (in relation to the firm's MiFID or equivalent third country business) or designated investments (in relation to the firm's other business). This includes entities dedicated to the securitisation of assets or other financing transactions.

High net worth companies are exempt under article 49 of the FSMA 2000 (Financial Promotion) Order 2005. This includes :

  1. any body corporate which has, or which is a member of the same group as an undertaking which has, a called-up share capital or net assets of not less than—
    1. if the body corporate has more than 20 members or is a subsidiary undertaking of an undertaking which has more than 20 members, £500,000;
    2. otherwise, £5 million;
  2. any unincorporated association or partnership which has net assets of not less than £5 million;
  3. the trustee of a high value trust;
  4. any person (“A”) whilst acting in the capacity of director, officer or employee of a person (“B”) falling within any of subparagraphs (a) to (c) where A’s responsibilities, when acting in that capacity, involve him in B’s engaging in investment activity;
  5. any person to whom the communication may otherwise lawfully be made.