What is an Investment Professional?
You could be regarded as an Investment Professional for the purposes of the Financial Services and Markets Act (Financial Promotion) Order 2005 if at least one of the following applies:
(a) I am an authorised person;
(b) I am an exempt person where the communication relates to a controlled activity which is a regulated activity in relation to which the person is exempt;
(c) I am a person –
(i) whose ordinary activities involve him in carrying on the controlled activity to which the communication relates for the purpose of a business carried on by him; or
(ii) who it is reasonable to expect will carry on such activity for the purposes of a business carried on by him;
(d) a government, local authority (whether in the United Kingdom or elsewhere) or an international organisation;
(e) a person (“A”) who is a director, officer or employee of a person (“B”) falling within any of sub-paragraphs (a) to (d) where the communication is made to A in that capacity and where A’s responsibilities when acting in that capacity involve him in the carrying on by B of controlled activities.
What does this mean?
(a) I can receive financial promotions that may not have been approved by a person authorised by the Financial Conduct Authority;
(b) the content of such financial promotions may not conform to rules issued by the Financial Conduct Authority;
(c) by signing this statement I may lose significant rights;
(d) I may have no right to complain to either of the following
(i) the Financial Conduct Authority; or
(ii) the Financial Ombudsman Scheme;
(e) I may have no right to seek compensation from the Financial Services Compensation
Scheme.
I accept that I can lose my property and other assets from making investment decisions based
on financial promotions.
Register here as a Qualifying Investor.