Error - 404

High Net-Worth

I make this statement so that I can receive promotional communications which are exempt from the restriction on 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 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:

• 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.
• any rights of mine under a qualifying contract of insurance.
• 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 pendants 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.

Full risk document

Sophisticated Investor

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

• I can receive promotional communications made by a person who is authorised by the Financial Conduct Authority which relates to investment activity in non-readily realisable securities;
• the investments to which the promotions will relate may expose me to a significant risk of losing all of 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 last six months prior to the date below;
• I have made more than one investment in an unlisted company in the two years prior to the date below;
• 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;
• 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 non-readily realisable securities.

Full risk document

Professional Client Declaration

As a Professional Client you are considered to be more experienced and knowledgeable in the market in which you propose to deal as well as being able to assess your own risk and you understand that you are afforded fewer regulatory protections. On the basis of the information you will give, or have given to us, and other information available to us, we will categorise you as a Professional Client, by reason of your experience and understanding, in relation to fund and investment selections. Accordingly you will lose all of the protection afforded to the Retail Clients under the FCA New Conduct of Business Rules (‘the Rules’).

• You have carried out transactions, in significant size, on the relevant market at an average frequency of 10 per quarter over the previous 4 quarters
• The size of your financial instrument portfolio, defined as including cash deposits and financial instruments (excluding property and pensions), exceeds EUR 500,000.
• You work or have worked in the financial sector for at least one year in a professional position, which requires knowledge of the transaction or services envisaged.

Suitability and appropriateness

In assessing the suitability or appropriateness of any transaction or investment it will be assumed that you, as a Professional Client, have sufficient knowledge and expertise to understand the risks associated with that transaction or investment and in relation to the assessment of suitability you will have sufficient financial resources to bear the risk associated with such transaction or investment.

Financial Ombudsman Service

Access to the Financial Ombudsman Service will not extend to you as a Professional Client. Any complaint you make will be dealt with under our internal complaints procedure.

Disclosure of detailed information on the services

We will not be required to disclose to you in writing certain detailed information, which we are required to disclose to Retail Clients. This includes additional detailed information on product and transactional charges, remuneration and/or adviser charges and/or commission.

Communication

We may have regard to your expertise as a Professional Client when complying with the rules that require that our communication be clear, fair and not misleading.

Financial promotion

Certain rules relating to financial promotions to clients or potential clients, including the requirement that the financial promotion must be fair, clear and not misleading, be identifiable as such and contain certain specific items of information do not apply.

Direct offer financial promotions

We will not be obliged to comply with the rules relating to restrictions on and the required contents of direct offer financial promotions.

Please confirm your acceptance and understanding of the above by signing the declaration below:

I confirm that I wish to be treated as a Professional Client by Falco Group Ltd and I have read and understood the written warning above regarding the protections and compensation rights I may lose. I am fully aware of the consequences of losing such regulatory protections as a result, and that it is up to me to inform Falco Group Ltd of any changes that could affect my categorisation.

Full risk document