Professional Investor

The professional investor designation includes all investors qualifying as professional investors under Directive 2004/39/EC (MiFID).In order to be considered a professional investor, you must meet at least 2 out of 3 of the following criteria:

  • You have carried out transactions, in significant size, on the relevant market at an average frequency of 10 per quarter over the previous four quarters.
  • Your financial instrument portfolio, including cash deposits and financial instruments, exceeds EUR 500,000.
  • You work or have worked in the financial sector for at least one year in a professional position requiring knowledge of the transactions or services envisaged
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The professional investor designation includes all investors qualifying as professional investors under Directive 2004/39/EC (MiFID), and we may treat you as a professional if we are reasonably assured that you have the expertise, experience and knowledge of the transactions and services envisaged, and that you understand the risks involved.

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As an Elective Professional Client we will provide you with the regulatory protections that are available to a Professional Client.  It is important that you are aware that the protections available to you differ depending on your classification and that you are also aware of the limitations of the protections of this classification.  As an ElectiveProfessional Client you will not be entitled to;

  • any of the additional disclosures required to be provided to Retail Clients including disclosures in relation to costs, commissions, fees (and charges), foreign exchange conversion rates and information on managing investments;
  • an assessment of appropriateness where we acted for you on a non-advised sale and we would be able to assume that you have the necessary level of experience and knowledge to understand the risks involved in such an investment, service, product of transactions;
  • the same protection as a Retail Client in relation to our assessment of the suitability of a particular product or service in that we would be able to assume that you had the necessary knowledge and experience to understand the risks involved and we would be able to assume that you are financially able to bear any investment risks consistent with your investment objectives;
  • the same level of protection inrelation to best execution as owed to Retail Clients;
  • a warning in relation to anymaterial difficulties in the prompt execution of your transactions;
  • the same level of information as Retail Clients would receive in relation to their periodic statements;
  • the same level of information as Retail Clients where we are holding money which would be “client funds” in that we would not be required to notify you of whether interest is payable and monies could be transferred to a third party (including a third party custodian), without notifying you and explaining the respective responsibilities of those parties, particularly if that third party becomes insolvent;
  • the same degree of protection in that the Firm may have regard to his expertise when complying with requirement sunder the regulatory system that communications must be clear, fair and not misleading.

You will only be regarded as an eligible complainant and therefore eligible to take advantage of the Financial Ombudsman Service if you are a natural person acting outside of your trade, business or profession. Your status, or not, as an eligible claimant for the purposes of having recourse to the Financial Services Compensation Scheme will not be affected by this categorisation. You have the right to request a different classification. If you wish to request a different classification, please do so in writing.  On receipt of such a request the Firm will consider the request and inform you if it is able to accommodate this request.
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