The Sophisticated Investor Certificate Template – Australia is offered in multiple formats, including PDF, Word, and Google Docs. Each version is designed to be both editable and printable, ensuring that you can easily customize according to your requirements.
Sophisticated Investor Certificate Template – Australia Editable | PrintableSample
1. Investor Information 2. Declaration of Sophisticated Investor Status 3. Financial Criteria 4. Purpose of Investment 5. Acknowledgment of Risks 6. Consent to Receive Information 7. Statement of Understanding 8. Governing Law 9. Signatures and Acceptance
PDF
WORD
Examples
[Investor’s Name]
[Investor’s ID]
[Investor’s Address]
[Investor’s Phone]
[Investor’s Email]
[Issuer’s Name]
[Issuer’s ID]
[Issuer’s Address]
[Issuer’s Phone]
[Issuer’s Email]
[Certification Date]
This certificate confirms that [Investor’s Name] is recognized as a Sophisticated Investor under the Australian Corporations Act 2001, permitting participation in certain investment opportunities.
To qualify, the investor must meet at least one of the following criteria:
1. Holds a gross income of at least AUD $250,000 for the last two financial years.
2. Holds net assets of at least AUD $2.5 million.
3. Is a professional investor or a related body corporate.
This certificate is valid for a period of [Validity Period] unless revoked or amended. The investor agrees to inform the issuer of any changes in circumstances affecting the status of their qualification as a Sophisticated Investor.
The issuer of this certificate is not liable for any financial losses incurred by the investor as a result of investment decisions made based on this certification.
This certificate shall be governed by and construed in accordance with the laws of Australia.
[Issuer’s Signature]
[Issuer’s Name]
[Witness Signature]
[Witness Name]
[Investor’s Name]
[Investor’s ID]
[Investor’s Address]
[Investor’s Phone]
[Investor’s Email]
[Issuer’s Name]
[Issuer’s ID]
[Issuer’s Address]
[Issuer’s Phone]
[Issuer’s Email]
[Certification Date]
This document certifies that [Investor’s Name] qualifies as a Sophisticated Investor in accordance with the provisions set forth by the Australian Securities and Investments Commission (ASIC), allowing engagement in more complex investment products.
To be classified as a Sophisticated Investor, the following criteria must be satisfied:
1. An income threshold of AUD $250,000 per annum for the last two financial years.
2. A total net worth exceeding AUD $2.5 million, including real estate and liquid assets.
3. Holding appropriate qualifications or experience in financial markets as determined by the issuer.
The investor must ensure ongoing compliance with the criteria of a Sophisticated Investor and notify the issuer of any changes that may affect their qualification status.
This certification does not guarantee any specific investment outcome or protection against losses. It is provided for informational purposes only.
This certificate is regulated under the laws applicable in Australia.
[Issuer’s Signature]
[Issuer’s Name]
[Witness Signature]
[Witness Name]
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