Fields marked with an * are mandatory.

Compliance statements

The majority of our funds are unregulated collective investment schemes or "UCIS". UCIS do not meet prescribed levels of diversification, liquidity, or transferability as set out in legislation and as such under law we are not permitted to promote them generally. We are, however, allowed to promote them to persons that meet certain criteria (as determined by our regulator) or, if they don’t meet these criteria, to persons whom we have concluded have sufficient expertise, experience and knowledge to understand the risks involved in investing in the types of funds we offer.

The following questions are designed to determine whether you fall within prescribed criteria that allow us to promote our funds to you. If you fall within one of these categories you will be given access to relevant funds. You must be able to confirm that you meet the criteria for both Part A and Part B. If you do, please tick the box at the bottom of the page.

If your company does not meet the criteria for both Part A and Part B, we can undertake a short and relatively simple assessment of your expertise, experience, and knowledge in respect of the types of funds we offer that may allow us to promote our funds to you. If you would like to discuss this with us please contact our Investor Management Group on img@icgplc.com or +44 (0)20 3201 7700.

Part A: Some details about your company

You must be able to answer ‘yes’ to one of the following six questions:

1. Is your company authorised or regulated to operate in the financial markets (in any capacity)? (note 1)

2. Is your company a national or regional government body or a body that deals with the public debt (this excludes local authorities and public authorities)?

3. Is your company a central bank?

4. Is your company an international or supranational institution?

5. Is your company an institutional investor whose main activity is to invest in unlisted debt instruments?

6. Does your company meet any two of the following three financial criteria?

- A balance sheet total of at least €20,000,000;

- Turnover net of associated taxes and trade discounts of at least €40,000,000;

- Own funds of at least €2,000,000. (note 2)

Part B: Some details about your company's investments

Is your company already a participant in an unregulated collective investment scheme ("UCIS") or have you been a participant in a UCIS in the past 30 months?

Examples of UCIS include:

- All unlisted investments (including unlisted debt securities, private equity limited partner commitments)

- On-exchange derivatives or warrants

- On-exchange securities

- Property

- Collectable items (such as works of art, antique vehicles)

- Artistic productions (such as films, television, opera, theatre, or music)

Notes

1. Guidance: The following types of entities are authorised or regulated to operate in the financial markets:

- Investment firms
- Credit institutions
- Insurance companies
- Collective investment schemes authorised under the UCITS Directive or its management company
- A pension fund or its management company
- A commodity dealer or a commodity derivatives dealer
- Other financial institutions authorised or regulated under EU legislation or the national law of an EEA State. This includes regulated institutions in the securities, banking, and insurance sectors.

2. Guidance: In summary “own funds” is the sum of:

paid up share capital plus share premium accounts but excluding cumulative preference shares; audited reserves plus audited current year interim profits; revaluation reserves; LESS own shares held; intangible assets; material losses of the current financial year; holdings in other credit and financial institutions of up to 10% of their capital.

Please tick the box below to confirm that you meet the criteria for both Part A and Part B.

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