Wholesale Investor Quiz
Not sure if you qualify as a wholesale Investor, these questions should help
Am I an "Eligible" Wholesale Investor?
I have experience acquiring or disposing of financial products.
I have served as a Director of an early stage business that was involved in capital raising.
I have experience in investing in shares and other securities (listed and unlisted) and understand the risk with investing in different types of financial products. I recognise that early stage investment is generally of significantly higher risk profile than most listed investment opportunities.
I currently hold a diverse portfolio of investments which I regularly review, with the benefit of advice from relevant professionals, where appropriate, and make my own investment decisions in relation to my portfolio.
In the course of investment activities, I have been exposed to a wide range of investment analysis and commentary and this has helped me build knowledge and skills in assessing the value and risks of investing in financial products.
Other relevant experience disposing of financial products.
And the results show ...
If you have ticked more than one box above, and you have a New Zealand authorised financial adviser, qualified statutory accountant, or lawyer who is able to sign to this fact, then you are a "Eligible" Wholesale Investor according to clause 41 of the FMCA 2013 and you can invest in early stage deals and/or become an Enterprise Angels Member.
If you can answer one or more of the following questions, you may qualify under the other Wholesale Investor criteria and be able to self certify your status.
Can I self-certify?
I own net assets which combined with the assets of entities I control, exceeded $5 million for the 2 most recent financial years.
The total turnover of my own and the entities I control exceeded $5 million for the 2 most recent financial years.
I have owned at some time in the past 2 years, a portfolio of financial products of a value of at least $1 million.
I have carried out 1 or more transactions to acquire financial products during the last 2 years, where the amount payable under those transactions (in aggregate) is at least $1 million and the other parties to the transactions were not associated with me.
My principal business is investing in financial products.
My principal business is providing financial advice in relation to financial products.
My principal business is brokering financial products.
My principal business is trading in financial products on behalf of other people.
I have been employed in an investment business in the last 10 years and, for at least 2 years during that 10 year period, I participated in the investment decisions made by that business.
I am a Qualifying Financial Entity (QFE).
I am an authorised financial advisor in New Zealand.
And the results show ...
If you have ticked more than one box in this section, then you are a Wholesale Investor as defined in clauses 37, 38, or 39 of the FMCA 2013 and you can certainly invest early stage deals and/or become an Enterprise Angels Member.
A copy of your responses will be emailed to the address you provided.
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