Self Certification -

Self Certification

Optima Wealth UK operate to the highest of FCA standards and we operate our business according to the principles and guidelines set by regulation; therefore as part of our procedures, you are required to declare the type of investor you are and confirm your knowledge and experience. This is to assess whether the investment opportunities we introduce to your are appropriate for you and your financial circumstances. There is zero obligation to invest when registering.

Once you have self certified you will be redirected to create a free Wealth Club account.

Sophisticated Investor
Self Certification

I have read and understood the formalities executed in this document below.

I declare that I am a self-certified sophisticated investor for the purposes of the restriction on promotion of speculative illiquid securities. I understand that this means:
(i) I can receive promotional communications made by a person who is authorised by the Financial Conduct Authority which relate to investment activity in speculative illiquid securities;
(ii) 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 in 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 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 speculative illiquid securities.

Date

Full Name

Email Address

Contact Number

I hereby declare that all of the information provided above is true and correct.

I ACCEPT.
By ticking “I Accept” I am aware that this represents an electronic signature and I authenticate everything in this document above. I confirm that I accept all the formalities executed in this document above.

High Net Worth Individual
Self Certification

I have read and understood the formalities executed in this document below.

I make this statement so that I can receive promotional communications which are exempt from the restriction on promotion of speculative illiquid securities. The exemption relates to high net worth investors and I declare that I qualify as such because at least one of the following applies to me:

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:
(a) the property which is my primary residence, or any money raised through a loan secured on that property; or
(b) any rights of mine under a qualifying contract of insurance; or
(c) 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
(d) any withdrawals from my pension savings (except where the withdrawals are used directly for income in retirement).

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 to seek advice from an authorised person who specialises in advising on speculative illiquid securities.

Date

Full Name

Email Address

Contact Number

I hereby declare that all of the information provided above is true and correct.

I ACCEPT.
By ticking “I Accept” I am aware that this represents an electronic signature and I authenticate everything in this document above. I confirm that I accept all the formalities executed in this document above.