Access alternative investments  - Self Certification

Sophisticated Investor

Declaration

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I declare that I am a self-certified sophisticated investor for the purposes of the Financial Services and Markets Act (Financial Promotion) Order 2005.​

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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;

3. by signing this statement I may lose significant rights;

4. I may have no right to complain to either of the following-
   i. the Financial ConductAuthority; or
   ii. the Financial Ombudsman Scheme; and

5. I may have no right to seek compensation from the Financial Services Compensation Scheme.​

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Certification

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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.

Advised Client

Declaration

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I am a client of a firm or individual regulated by the Financial Conduct Authority who have sufficient expertise and experience to advise me on unregulated investment products.

Certification

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I am aware that it is my responsibility to seek advice from an authorised person who is qualified and competent to give advice on unlisted shares and unlisted debt securities.

I accept that the investments to which the promotions relate may expose me to a risk of losing all my invested capital.

I agree Falcon Capital, their compliance officer or their Registrar may need to make further inquiries as they deem appropriate under the circumstances.

High Networth Individual

Declaration

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Statement for Certified High Net Worth Individual

I 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.

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I understand that this means:

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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;

3. by signing this statement I may lose significant rights;

4. I may have no right to complain to either of the following –

5. the Financial Conduct Authority; or

6. the Financial Ombudsman Scheme; and

7. I may have no right to seek compensation from the Financial Services CompensationScheme.

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Certification

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I am a certified high net worth individual because at least one of the following applies:-

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1. I had, during the financial year immediately preceding the date below, an annual income to the value of £100,000 or more; or

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:-
   (i) the property which is my primary residence or any loan secured on that residence;
   (ii) (any rights of mine under a qualifying contract of insurance within the meaning of the Financial Services and Markets Act 2000 (Regulated Activities) Order 2001(a); or
   (iii) 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.