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- An IFA, a wealth manager or intermediary
- A private investor that fits into one of the categories below:
- A professional client by reference to the FCA client categorisation rules
- A client of an authorised firm that will confirm that this investment is suitable for them
- A client who will invest no more than 10% of their net investible portfolio into non-readily realisable securities, and therefore will self-certify as a ‘restricted investor’ in accordance with COBS 4.7.10R
- A self-certified high net worth investor within the meaning of COBS 4.7.9R
- A self- certified sophisticated investor within the meaning of COBS 4.7.9R
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