Precedent notice for use with exempt financial promotions to certified high net worth individuals and self-certified sophisticated investors

The following Financial Services precedent provides comprehensive and up to date legal information covering:

  • Precedent notice for use with exempt financial promotions to certified high net worth individuals and self-certified sophisticated investors

Precedent notice for use with exempt financial promotions to certified high net worth individuals and self-certified sophisticated investors

Warning: 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.

This document is exempt from section 21 of the Financial Services and Markets Act 2000 (FSMA 2000) on the grounds that it is made only to certified high net worth individuals and self-certified sophisticated investors.

A certified high net worth individual is an individual who has signed (within the 12 months ending on the day on which the document is made) a statement complying with Part I of Schedule 5 of the Financial Services and Markets Act 2000 (Financial Promotion) Order 2005 (SI 2005/1529) (FPO), a version of which is set out in Annex I of this document.

A self–certified sophisticated investor is an individual who has signed (within the 12 months ending on the day on which the document is made) a statement complying with Part II of Schedule 5 of SI 2005/1529, FPO, a version of which is set out in Annex II of this document.

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