Compliance for Sophisticated Individual Investors.

Please fill out the form below to allow Ecosse Management Limited to confirm your certification as a Sophisticated Individual Investor.

Certified Sophisticated Investor Certificate

Part 1 - Self Certification


To whom it may concern,
I make this statement so that I am able to receive promotions which are exempt from the restrictions on financial promotion in the Financial Services Markets Act 2000. The exemption relates to certified sophisticatetd investors and I declare that I qualify in relation to investments in unregulated collective investment schemes.

I accept that the contents of promotions and other material that I receive may not have been approved by an authorised person and their content may not therfore be subject to controls which would apply if the promotion were made or approved by an authorised person. Further, I am aware that investing in such schemes attracts a high level of risk. I am aware that it is open to me to seek advice from someone who specialises in advising on this kind of investment.

 

Please make sure that all field marked with an * are filled out correctly

*Name of
Sophisticated Investor:

*Date

   

 

   
   
 

Part 2 - Certificate from an authorised person*

I confirm that the above person is sufficiently knowledgeable to understand the risks associated with participationg in unregulated collective investment schemes. I confirm that we are authorised and regulated by the Financial Services Authority.

*Name

*Firm

*Date

   

* An appropriate person would be an IFA but in some cases an
Appropriately Authorised
accountant or lawyer can sign. If you are
in any doubt as to who qualifies as an appropriately authorised person,
or need assistance in completing both parts of this form please contact Grant Robertson on 07818 423 922 for assistance.