Execution Certificate For Investors
CERTIFICATE FOR EXECUTION BY PROFESSIONAL CLIENTS
A Professional Client is a client who is not designated as a Retail Client as per the https://www.handbook.fca.org.uk/handbook/COBS/3/5.html FCA Conduct of Business Handbook
Each of the following is a Professional Client unless and to the extent it is an Eligible Counterparty or is given a different categorisation:
- an entity required to be authorised or regulated to operate in the financial markets. The following list includes all authorised entities carrying out the characteristic activities of the entities mentioned, whether authorised by an EEA State or a third country and whether or not authorised by reference to a directive:
- a credit institution;
- an investment firm;
- any other authorised or regulated financial institution; d) an insurance company;
- a collective investment scheme or the management company of such a scheme;
- a pension fund or the management company of a pension fund;
- a commodity or commodity derivatives dealer;
- a local;
- any other institutional investor;
- in relation to MiFID or equivalent third country business a large undertaking meeting two of the following size requirements on a company basis:
- balance sheet total of EUR 20,000,000;
- net turnover of EUR 40,000,000;
- own funds of EUR 2,000,000;
- in relation to business that is not MiFID or equivalent third country business a large undertaking meeting any of the following conditions:
- a body corporate (including a limited liability partnership) which has (or any of whose holding companies or subsidiaries has) (or has had at any time during the previous two years) called up share capital or net assets of at least £5 million (or its equivalent in any other currency at the relevant time);
- an undertaking that meets (or any of whose holding companies or subsidiaries meets) two of the following tests:
- a balance sheet total of EUR 12,500,000;
- a net turnover of EUR 25,000,000;
- an average number of employees during the year of 250;
- a partnership or unincorporated association which has (or has had at any time during the previous two years) net assets of at least £5 million (or its equivalent in any other currency at the relevant time) and calculated in the case of a limited partnership without deducting loans owing to any of the partners;
- a trustee of a trust (other than an occupational pension scheme, SSAS, personal pension scheme or stakeholder pension scheme) which has (or has had at any time during the previous two years) assets of at least £10 million (or its equivalent in any other currency at the relevant time) calculated by aggregating the value of the cash and designated investments forming part of the trust’s assets, but before deducting its liabilities;
- a trustee of an occupational pension scheme or SSAS, or a trustee or operator of a personal pension scheme or stakeholder pension scheme where the scheme has (or has had at any time during the previous two years):
- at least 50 members; and
- assets under management of at least £10 million (or its equivalent in any other currency at the relevant time);
- a local authority or public authority.
- a national or regional government, a public body that manages public debt, a central bank, an international or supranational institution (such as the World Bank, the IMF, the ECB, the EIB) or another similar international organisation;
- another institutional investor whose main activity is to invest in financial instruments (in relation to the firm’s MiFID or equivalent third country business) or designated investments (in relation to the firm’s other business). This includes entities dedicated to the securitisation of assets or other financing transactions.
Capital is at risk and investors may not get back all monies invested. Investments described are only appropriate for high net worth individuals, sophisticated or professional investors and are not deposit based investments covered by the Financial Services Compensation Scheme.
United Kingdom Asset Company Limited (FRN 820128) is an Introducer Appointed Representative of European American Capital Services Limited, a company which is authorised and regulated by the Financial Conduct Authority (FRN 401897).
Investors and potential investors confirm that by using this website and the services of United Kingdom Asset Company Ltd that they understand that United Kingdom Asset Company Ltd acts only for its corporate clients for whom it undertakes marketing and other awareness campaigns with a view to raising funds for them.
Under FCA requirements for United Kingdom Asset Company to Treat Customers Fairly (TCF) and appropriately, United Kingdom Asset Company relies entirely on the honest and accurate selection by Investors of their Customer Categorisation and Appropriateness declarations to be able to then access, read and invest from material available via United Kingdom Asset Company.
United Kingdom Asset Company receives a corporate finance and/or a success fee from its Corporate Clients. Employees, managers, shareholders, directors and others affiliated or associated with United Kingdom Asset Company may have or earn an interest in the securities discussed and promoted by United Kingdom Asset Company.
By agreeing to proceed you confirm that United Kingdom Asset Company Ltd may hold your data in accordance with the data protection act and GDPR. You agree that United Kingdom Asset Company may contact you on the details given.