Swap Rates

If you wish to open additional trading platforms under the same email ID, then please apply via the mycfsm client portal.

Only to be completed by clients who have asked on page 1 of the application to be treated as a High Net Worth Investor or Sophisticated Investor

HIGH NET WORTH INVESTOR STATEMENT

I declare that I am a certified high net worth individual for the Financial Services and Markets Act 2000 (Financial Promotion) Order 2005.

I understand that this means:

I can receive financial promotions that may not have been approved by a person authorised by the Financial Conduct Authority;

• a) the content of such financial promotions may not conform to rules issued by the Financial Conduct Authority;
• b) by signing this statement I may lose significant rights;
• c) I may have no right to complain to either of the following:
  i) the Financial Conduct Authority; or
  ii) the Financial Ombudsman Scheme;
• d) I may have no right to seek compensation from the Financial Services Compensation Scheme

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

• a) I had, during the financial year immediately preceding the date below, an annual income to the value of £100,000 or more;
• b) 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 my death or retirement and to which I am (or my dependants are), or maybe, entitled.

I accept that I can lose my property and other assets from making investment decisions based on financial promotions.

By giving this declaration I am aware that it is open to me to seek advice from an authorised person who specialises in advising on unlisted shares and unlisted debt securities.

I confirm that I am a high net worth investor as detailed above as I meet at least one of the listed requirements

Only to be completed by clients who have asked on page 1 of the application to be treated as a High Net Worth Investor or Sophisticated Investor

SELF-CERTIFIED SOPHISTICATED INVESTOR STATEMENT

I declare that I am a self-certified sophisticated investor for the Financial Services and Markets Act 2000 (Financial Promotion) Order 2005.

I understand that this means:

• a) I can receive promotional communications made by a person who is authorised by the Financial Conduct Authority which relates to investment activity in unlisted shares and unlisted debt securities;
• b) 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:

• a) 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;
• b) I have made more than one investment in an unlisted company in the two years prior to the date below;
• c) 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 the provision of finance for small and medium enterprises;
• d) 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 I can lose my property and other assets from making investment decisions based on financial promotions.

By giving this declaration I am aware that it is open to me to seek advice from an authorised person who specialises in advising on unlisted shares and unlisted debt securities.

I confirm that I am a high net worth investor as detailed above as I meet at least one of the listed requirements