Compliance

 

Enterprise Angels is subject to current FMCA and AML/CFT legislation. 

All information provided to Enterprise Angels will be treated inline with our Privacy Policy.

Wholesale Investor Certification guidance

The Wholesale Investor Certificate confirms that you qualify as a Wholesale Investor under the Financial Markets Conduct Act 2013 and that you understand the risks involved in early stage investing. This must be updated every two years in order to continue to invest in Enterprise Angels deals.

  1. Login to the investor portal
  2. Click on the profile icon in top right corner and from drop-down menu select ‘Investment Accounts’
  3. If Wholesale certificate is to be added to existing account select the ‘edit’ button. For a new account select ‘add new account’ first then the ‘edit’ button
  4. Select ‘Wholesale Certification’ from the left hand options and then select ‘add new certificate’

You will have the option to choose ‘Eligible Investor’ or ‘Safe harbour Certificate’.  See the criteria here and select the option you qualify for. Note that if you qualify as ‘Safe Harbour’ you will be able to self-certify, whereas ‘Eligible Investor’ will need an accountant, lawyer or financial adviser to verify your experience.

Eligible Investors

  1. Select the ‘Eligible Investor‘ box and then box which drops below.
  2. Select bothEquity Securities‘ and ‘Debt Securities‘. Enterprise Angels offers equity and debt (convertible note) so you will need to select both in order to see all of our investment opportunities – assuming you have the relevant experience.
  3. Enter the grounds for your certification. This is what your intermediary will see when reviewing your certification. An example could be “I have experience investing in shares and understand the heightened risk and illiquidity of angel investments.“.
  4. Enter the relationship, full name and email address of your accountant, lawyer or financial adviser who can verify your experience, then select ‘verify’. They will receive an email asking them to approve your certificate so you may wish to let them know that the request is coming so they have some context.

Safe Harbour Investors

  1. Select the ‘Safe harbour Certificate’ box and follow the prompts in line with the criteria you meet.
  2. Tick the certification box and enter the grounds for your certification. An example could be “I currently own a portfolio of financial products with a value exceeding NZ$1m“.

If you have not yet fully completed your account review and declaration, ensure this is done so that your certificate populates on our system.

 

 

For more guidance on the Investor Portal click here.

Enterprise Angels Tax Certificate

Risk Warning: Investing in early stage companies involves risk and should be done only as part of a diversified portfolio. Offers facilitated by Enterprise Angels are for Wholesale Investors who make their own investment decisions and understand the risks. Read the full risk warning.