Client Financial Information Form

If you wish to receive information on an investment proposal in an Unregulated Collective Investment Scheme (UCIS) promoted by Gresham House directly, you must first complete this form. If you are in any doubt as to whether an investment of this type is a suitable kind of investment for you, you are strongly advised to contact a professional adviser who is regulated by the Financial Conduct Authority (FCA) to advise on investments of this type, prior to submitting this form.

FCA rules restrict the promotion of UCISs or non-mainstream pooled investments to retail investors in the UK. The information you give Gresham House in this form will be used by Gresham House to determine whether any particular investment promoted by Gresham House may be appropriate to you.

As a potential investor in a UCIS you are advised that Gresham House undertake transactions on an ‘execution only’ basis, which means that in relation to any particular transaction no advice will be given to you by Gresham House, and Gresham House will not exercise any judgement on your behalf about the merits of, or the suitability for you, of that transaction.

Any information you give on this form will be treated as strictly confidential.

By completing this form you are providing consent for Gresham House or other members of the Gresham House Group to process your personal data and provide details of relevant investment opportunities.

All parties should complete:
1. Section A (Client Information) and Section E (Declaration)
2. Section B, C or D as appropriate

Section A: The Client

For the following questions please tick the appropriate box:

1. Please indicate the estimated value of your current net assets

Listed investments

Unlisted investments

Other (including property other than your main residence)

2. Please indicate your anticipated total annual income for the current financial year

3. Please indicate the number of deals you have conducted in the last two years in unlisted securities or unregulated collective investment schemes

4. Are you normally a higher rate UK taxpayer?

5. Do you normally pay capital gains tax?

6. Should you invest in a Gresham House product, do you understand that it is likely to be of a long term nature and it may be difficult to realise the investment made or to establish an accurate value for it?

7. Are you aware that there may be very limited market for shares/units in Gresham House investments during their lifespan?

8. Are you prepared to invest where there might not be any annual dividend/distribution for a number of years?

Section B – High Net Worth Investor Statement (IF APPLICABLE)

Net assets for these purposes do not include:

  1. The property which is my primary residence or any money raised through a loan secured on that property; or
  2. Any rights of mine under a qualifying contract of insurance; or
  3. 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
  4. Any withdrawals from my pension savings (except where the withdrawals are used directly for income in retirement).

Section C – Certified Sophisticated Investor Statement

  1. I have a written certificate signed within the last 36 months by a firm confirming that I have been assessed by that firm as sufficiently knowledgeable to understand the risks associated with engaging in investment activity in non-mainstream pooled investments; and
  2. I have signed a “Sophisticated Investor Statement” within the period of twelve months preceding the day on which this form is submitted.

I make this statement so that I can receive promotional communications which are exempt from the restriction on promotion of non-mainstream pooled investments. The exemption relates to certified sophisticated investors and I declare that I qualify as such.

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 non-mainstream pooled investments

Section D – Self-Certified Sophisticated Investor Statement

  1. I can receive promotional communications made by a person who is authorised by the Financial Conduct Authority which relate to investment activity in non-mainstream pooled investments; and
  2. The investment to which the promotions will relate may expose me to a significant risk of losing all of the amount invested.

I am a Self-Certified sophisticated Investor because at least one of the following applies:

Section E: Declaration

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