{"id":1237,"date":"2019-05-21T18:36:48","date_gmt":"2019-05-21T18:36:48","guid":{"rendered":"https:\/\/www.enterpriseangels.co.nz\/?page_id=1237"},"modified":"2023-09-22T17:10:48","modified_gmt":"2023-09-22T05:10:48","slug":"compliance","status":"publish","type":"page","link":"https:\/\/www.enterpriseangels.co.nz\/compliance\/","title":{"rendered":"Compliance"},"content":{"rendered":"

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Compliance<\/h1>\n

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[\/et_pb_text][et_pb_button button_url=”https:\/\/www.enterpriseangels.co.nz\/wp-content\/uploads\/2023\/04\/Enterprise-Angels-Compliance-Form-V1.pdf” button_text=”Download compliance form” _builder_version=”4.19.2″ _module_preset=”default” global_colors_info=”{}”][\/et_pb_button][\/et_pb_column][\/et_pb_row][\/et_pb_section][et_pb_section fb_built=”1″ admin_label=”Projects” _builder_version=”4.16″ min_height=”1171px” custom_padding=”0||27px||false|false” global_colors_info=”{}”][et_pb_row _builder_version=”4.16″ background_size=”initial” background_position=”top_left” background_repeat=”repeat” custom_padding=”30px||||false|false” locked=”off” global_colors_info=”{}”][et_pb_column type=”4_4″ _builder_version=”4.16″ custom_padding=”|||” global_colors_info=”{}” custom_padding__hover=”|||”][et_pb_text _builder_version=”4.20.4″ _module_preset=”default” custom_padding=”0px|||||” global_colors_info=”{}”]<\/p>\n

Enterprise Angels is subject to current FMCA<\/a>\u00a0and\u00a0AML\/CFT<\/a> legislation.\u00a0<\/p>\n

All information provided to Enterprise Angels will be treated inline with our Privacy Policy.<\/a><\/p>\n

[\/et_pb_text][et_pb_toggle title=”Wholesale Investor Certification guidance” _builder_version=”4.22.1″ _module_preset=”default” title_level=”h3″ hover_enabled=”0″ global_colors_info=”{}” sticky_enabled=”0″]<\/p>\n

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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.<\/p>\n

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  1. Login to the\u00a0<\/span>invest<\/a><\/u>or portal<\/a><\/u><\/li>\n
  2. Click on the profile icon in top right corner and from drop-down menu select \u2018Investment Accounts\u2019<\/li>\n
  3. If Wholesale certificate is to be added to existing account select the \u2018edit\u2019 button. For a new account select \u2018add new account\u2019 first then the \u2018edit\u2019 button<\/li>\n
  4. Select \u2018Wholesale Certification\u2019 from the left hand options and then select \u2018add new certificate\u2019<\/li>\n<\/ol>\n

    You will have the option to choose\u00a0<\/span>\u2018Eligible Investor\u2019<\/strong>\u00a0<\/span>or\u00a0<\/span>\u2018Safe harbour Certificate\u2019<\/strong>.\u00a0 See the criteria\u00a0<\/span>here<\/span><\/a>\u00a0<\/span>and select the option you qualify for. Note that if you qualify as \u2018Safe Harbour\u2019 you will be able to self-certify, whereas \u2018Eligible Investor\u2019 will need an accountant, lawyer or financial adviser to verify your experience.<\/p>\n

    Eligible Investors<\/h4>\n
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    1. Select the ‘Eligible Investor<\/strong>‘ box and then box which drops below.<\/li>\n
    2. Select both<\/span> ‘Equity Securities<\/strong>‘ and ‘Debt Securities<\/strong>‘. 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.<\/li>\n
    3. Enter the grounds for your certification. This is what your intermediary will see when reviewing your certification. An example could be \u201cI have experience investing in shares and understand the heightened risk and illiquidity of angel investments.<\/em>\u201c.<\/li>\n
    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.<\/li>\n<\/ol>\n

      Safe Harbour Investors<\/h4>\n
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      1. Select the \u2018Safe harbour Certificate<\/strong>\u2019 box and follow the prompts in line with the criteria you meet.<\/li>\n
      2. Tick the certification box and enter the grounds for your certification. An example could be \u201cI currently own a portfolio of financial products with a value exceeding NZ$1m<\/em>\u201c.<\/li>\n<\/ol>\n

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

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        For more guidance on the Investor Portal click here.<\/a><\/p>\n<\/div>\n

        [\/et_pb_toggle][et_pb_toggle title=”Enterprise Angels Tax Certificate” disabled_on=”off|off|off” _builder_version=”4.22.1″ _module_preset=”default” title_level=”h3″ hover_enabled=”0″ global_colors_info=”{}” sticky_enabled=”0″]<\/p>\n