Self Certified Sophisticated Investor Assessment

1

CERTIFICATE FOR EXECUTION BY SOPHISTICATED INVESTORS

2

I declare that I am a self-certified sophisticated investor for the purposes of the restriction on promotion of non-mainstream pooled investments. I understand that this means:

3

Please click to confirm the following;* This field is required.

(i) 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;

(ii) the investments to which the promotions will relate may expose me to a significant risk of losing all of the property invested.

4

I am a self-certified sophisticated investor because at least one of the following applies:

5

Please check the answers that you feel are most applicable to you;* This field is required.

(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;

6

Please check the boxes to confirm the following

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-mainstream pooled investments.

I am aware that the firm does not give financial advice and as such cannot make personalised investment recommendations to you. If you wish to receive financial advice we would recommend that you seek appropriate advice from an independent financial adviser prior to making any investments.

7

Name* This field is required.

First Name

Last Name

8

Email* This field is required.

example@example.com

9

Please confirm that you understand all of the above:* This field is required.

I MAKE THIS DECLARATION AS A SOPHISTICATED INVESTOR

10

Signature* This field is required.Use your mouse or finger if on a mobile device

Clear

11

In order for us to satisfy the FCA’s requirements for investor suitability, please complete the following short, multiple choice Knowledge and Experience Test, below. The questionnaire is designed to help us ascertain your knowledge and experience with investing, mainly in Non-Readily Realisable Securities (NRRS) before we can discuss any investment opportunities with you. All information provided by you is covered by GDPR and will remain confidential.

12

Please state your current profession, or, if you are retired, your previous profession:* This field is required.

13

Please state your first language below if it is not English:

14

Please state the source of funds for your investment:* This field is required.

15

In relation to Non-Readily Realisable Securities (unquoted/unlisted investments) please confirm your understanding of the following statements, in each instance, please check the one box next to the statement which most applies to you:

16

If you invest, whether into debt instruments (e.g. Bonds or Loan Notes) or equity shares of unquoted/unlisted companies, is your capital at risk of being lost* This field is required.

Yes: My capital is at risk and I could lose some, or all of my money.

No: I do not think my capital is at risk.

17

Will the returns on your investment (interest on debt instruments or future shares value) be guaranteed?* This field is required.

Yes: I would normally be guaranteed returns on my investment.

No: Payments of interest on debt or shares value are dependent on the success of the underlying company raising the capital and if they do not perform, I may not receive the returns promised.

18

Could you easily sell or transfer your investment in debt instruments or equity shares which are not listed on any exchange (are unquoted/unlisted) during your investment into companies issuing those securities?* This field is required.

Yes: I can sell my investment in the debt instruments or equity shares easily at any time if I contact the company.

No: I should assume that I may not be able to sell, redeem or transfer my investment easily for some years.

19

Would your investment, whether debt instruments or equity shares, be covered by the Financial Services Compensation Scheme (FSCS) or the Financial Ombudsmen Service (FOS) if a company you invest into fails?* This field is required.

Yes: The FSCS or the Financial Ombudsmen Service are always available to investors and I will be reimbursed if the underlying company I invest into fails or fails to repay my interest or capital

No: I will not have access to the FSCS or the Financial Ombudsman Service because these services apply only when the FCA authorised firm gives advice on products and not when I choose to invest my savings.

20

What would happen if a company you invest into by way of purchasing debt or equity shares was to fail?* This field is required.

No one will be liable to pay me back the amounts I invested, and part or all of my investment will be lost, and I will not be reimbursed by the Financial Services Compensation Scheme (FSCS) or the Financial Ombudsmen Service (FOS).

The business owners will be personally liable to pay back the monies I invested or owed and this is how I will recover the capital invested. If not the Financial Services Compensation scheme (FSCS) or the Financial Ombudsmen Service (FOS) will certainly help me to recover my monies and/or reimburse me.

21

Is it safe to invest your savings in securities of any type and particularly in Non-Readily Realisable Securities (i.e. illiquid, which are not listed on any exchange)?* This field is required.

Yes: I think it is safe to invest as long as the Financial Promotion is approved or promoted by an FCA Authorised and Regulated Firm

No: All forms of investing are risky, and I should never invest more than what I am prepared to lose. A savings account with my bank or bank’s deposit account is safer as it is covered under the Financial Services Compensation Scheme.

22

Are you or have you ever been a company director of a company with an annual turnover of at least £1 million?* This field is required.

No, I have never been a director of a company with an annual turnover of at least £1 million.

I have been a director of a company with an annual turnover of at least £1 million in the past but longer than 2 years ago.

Yes, I am currently, or have been in the last two years a director of a company with an annual turnover of at least £1 million.

23

Are you a member of a Syndicate or Group of investors?* This field is required.

Yes i am currently a member of a Syndicate or group of investors and have been so for at least the last 6 months.

No, I am not a member of a syndicate or group of investors

Yes I am a member of a group of private investors and have been so for less than six months.

24

Have you ever invested into a company not listed on the stockmarket?* This field is required.

Yes, I have made at least one investment in a company not listed on the stock market in the last two years.

No, I have made no investments into a company not listed on the stock market.

I have made no investments into a company not listed on the stock market in the last two years but have previously made such investments.

25

Thank you for completing the questionnaire.

26

Lastly, please, please, confirm the following:* This field is required.

I confirm I have read Key Risks section on Equity for Growth (Securities) Limited’s website.

I understand that Equity for Growth (Securities) Limited does not provide investment, taxation, financial, legal or other advice and cannot advise me on the suitability of any investment. I understand that if I require such advice, I should seek independent specialist advice.