1

“Self-certified sophisticated investor” means an individual—

a

who has completed and signed, within the period of twelve months ending with the day on which the communication is made, a statement complying with Part 2 of Schedule 5; and

b

whose completion of that statement indicates that they satisfy the conditions set out in the statement to be classified as a self-certified sophisticated investor.

5A

In addition to the warning in paragraph (5), the requirements of this paragraph are that the communication is accompanied by the following information—

a

the full name of the person making the communication, or on whose behalf the communication is made;

b

a postal or electronic address to which a person should send requests for further information or any other enquiry regarding the matters to which the communication relates; and

c

if applicable—

i

the country or territory in which the person making the communication, or on whose behalf the communication is made, is incorporated;

ii

where different from the information provided under (b), the address of the registered office of the person making the communication, or on whose behalf the communication is made; and

iii

the company number, or unique identification equivalent to a registered number required by the law of the state in which it is incorporated, of the person making the communication, or on whose behalf the communication is made.