Qualified Investor Exemption
This framework allows issuers to target professional and institutional investors without the need for full regulatory registration.
Who Can Invest?
Institutional Investors: Banks, asset managers, pension funds, and insurance companies.
High-Net-Worth Individuals (HNWI): Wealthy individuals who meet specific income or asset thresholds.
Professional Clients: Investors with substantial knowledge and experience in financial products, as defined by FCA rules.
How Much Money Can Be Raised?
Unlimited—there is no cap on the amount of capital you can raise.
Are There Any Restrictions?
The offering cannot be marketed or advertised to retail investors (ordinary individuals).
You must categorize all investors to ensure they qualify as professionals or high-net-worth individuals.
Compliance Notes
No full prospectus registration is required, which simplifies the process and reduces costs.
Issuers must still provide clear and accurate offering documents to prevent misleading investors.
Why Choose This Framework?
The Qualified Investor Exemption is perfect for issuers targeting experienced investors who are comfortable with less regulatory protection. It allows issuers to raise unlimited capital with minimal compliance requirements.
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