AIM EIS Direct Investor Declaration AIM EIS Direct Investor Declaration Guinness EIS and Business Relief services are only available to UK residents who are able to self-certify as Sophisticated Investors or High Net Worth Individuals before applying. If you are in any doubt as to the suitability of the products for your circumstances, please seek specialist financial or tax advice. Once you have completed this form you will be able to download a Direct Investor Application Form. Your personal details Forename * Surname * Email * Please tell us about yourself: * I am a self-certified sophisticated investor I am a high net worth investor High net worth individuals I make this statement so that I can receive promotional communications which are exempt from the restriction on promotion of non-readily realisable securities. 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: High net finances I had, throughout the financial year immediately preceding the date below, an annual income to the value of £100,000 or more. Annual income for these purposes does not include money withdrawn from my pension savings (except where the withdrawals are used directly for income in retirement). 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; or any rights of mine under a qualifying contract of insurance; or 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; or any withdrawals from my pension savings (except where the withdrawal are used directly for income in retirement Self certified investors I declare that I am a self-certified sophisticated investor for the purposes of the restriction on 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 relate 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. Self certified declaration * I agree to the above 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. Disclaimer I accept that the investments * 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 seek advice from someone who specialises in advising on non-readily realisable securities. Marketing Preferences Marketing prefences Please tick this box if you are happy for Guinness Asset Management to use the information you provide on this form to contact you with updates and marketing on EIS and related services. If you are human, leave this field blank. Submit
