High Net Worth Individual ("HNWI")
& Sophisticated Investor
Self-Certification

The following questionnaire is an important evaluation process of its potential investors and is based on applicable securities laws and regulations.

Rocketphone.ai can only accepts potential shareholders who qualify as high-net-worth individuals or self-certified sophisticated investors under the UK Financial Promotion Order (Financial Services and Markets Act 2000 (Financial Promotion) Order 2005)

All information will be kept confidential in accordance with Rocketphone.AI's Privacy Notice.

1 Please provide your Contact Details

First name

Last name

Phone number

🇬🇧 ▼

Email

2 Please confirm your Jurisdiction

A United Kingdom

3 Please select the investor definition, which best describes you

High Net-Worth Individual (HNWI) Definition:

Either A) an annual income of at least £100,000 OR
B) Net assets of £250,000 or more. Net assets do NOT include: your home (primary residence).

Sophisticated Investor Definition:

A) Made more than one investment in an unlisted company in the previous two years OR
B) Director of a company with a turnover over £1 million OR
C) Worked in a professional capacity in the private equity sector, or in the provision of finance for small and medium enterprises, in the last two years? OR
D) Been a member of a network or syndicate of business angels for more than six months, and are still a member

A High Net-Worth Individual

B Self-Certified Sophisticated Investor

4 Please confirm whether you qualify as a high-net-worth investor on the basis that A or B apply to you.

In the last financial year did you have*
I accept that being a high-net-worth investor will expose me to promotions for investment where there is a significant risk of losing all the money I invest.

A An annual income of £100,000 or more? Income does NOT include any one-off pension withdrawals

B Net assets of £250,000 or more? Net assets do not include: your home (primary residence), any loan secured on it or any equity released from it; your pension (or any pension withdrawals) or any right under insurance contracts. Net assets are total assets

5 Please confirm whether you qualify as a Self-Certified Sophisticated Investor on the basis that A or B or C or D apply to you. *

I accept that being a high-net-worth investor will expose me to promotions for investment where there is a significant risk of losing all the money I invest.

In the last 2 years did you have:

A Made more than one investment in an unlisted company in the previous two years

B Director of a company with a turnover over £1 million

C Worked in a professional capacity in the private equity sector, or in the provision of finance for small and medium enterprises, in the last two years?

D Been a member of a network or syndicate of business angels for more than six months, and are still a member

6 Please specify your income (as defined above) to the nearest £10,000 in the last financial year.

This is for the FCA's Conduct of Business Sourcebook (COBS)

7 Please specify your Net Assets (as defined above) to the nearest £10,000 in the last financial year.

This is for the FCA's Conduct of Business Sourcebook (COBS)

8 I declare that I have answered yes to A and/or B, and wish to be treated as a high net worth individual.

I understand that this means:

I can receive financial promotions where the contents may not comply with rules made by the Financial Conduct Authority (FCA);
I can expect no protection from the FCA, the Financial Ombudsman Service or the Financial Services Compensation Scheme.

I am aware that it is open to me to seek advice from someone who specialises in advising on investments.

I accept that I could lose all of the money I invest.

I confirm that I understand that Rocketphone.ai is not acting for me, and I understand that it will not be responsible for providing me with the protections afforded to clients of the firm. I understand that it will not be advising me on the relevant transaction.*

Please agree to the terms & conditions

A I accept

B I don't accept

9 How many investments in unlisted companies have you made in the previous 2 years?

10 What is the name of the company?*

11 What is the name of the Network or Syndicate?*

12 What is the name of the company?*

13 I declare that I have answered yes to A, B, C and/or D, and wish to be treated as a self-certified sophisticated investor.