Compliance 

What legislation governs early stage investments and how to comply.

Enterprise Angels is subject to current FMCA and AML/CFT legislation.  In order for Enterprise Angels to comply, before we accept investments from you, you will need to provide the following:

1. A Client Agreement

The Agreement formalises the relationship between you, your investing entity and Enterprise Angels, and provides Enterprise Angels the authority of your investing entity to accept your instructions relating to your investments with us.

  • If you intend to invest in your own personal name, as a couple, or informal group or partnership, click here
  • If you intend to invest via a company, partnership or society, click here
  • If you intend to invest via a trust, click here

Note: this must be updated whenever any information contained in the agreement changes.

2. A Wholesale Investor Statement

The Wholesale 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.

If you qualify as a “Wholesale” Investor you are able to self certify, however if you qualify as an “Eligible” Investor you will need a NZ accountant, lawyer or financial adviser who can verify your experience, and will co-sign your Wholesale Investor Certificate.  Click here to download.

Note: this must be updated every two years in order to continue to invest in new deals.

3. An EA Nominee Deed if you are required to invest via EA Nominee Ltd

The Investor Deed formalises the relationship between your investing entity and EA Nominee Ltd, allowing you to invest in smaller parcel sizes (minimum of $10K comprising $5K initial and the remainder for follow-on), and the ability to communicate commitments and responses to us via email rather than signing individual agreements. Click here to download.

On completion of the above, Enterprise Angels will pass your name and contact details on to First AML, our Customer Due Diligence (CDD) agent, who will contact all parties to the agreement directly to complete your CDD required for AML/CFT.

In, addition, if you have invested in one of our early stage funds, we will require you to provide a Tax Residency Self Certification to satisfy CRS and FATCA legislation.

Ready to get started?

If you are new to the Enterprise Angels fold, please upload your documents below:

  • Upload your three compliance documents in the name of your investing entity (including Client Agreement, FMCA Wholesale Certificate, EAN Deed) and supporting documents (Proof of Bank Account and Trust Deed and Proof of Wealth if you ware investing via a trust) here
    Drop files here or
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