Private Client Application

Suitability: Know Your Customer Part:1

Private Client Application

At Marshall Sterling we offer various Products and Services and types of Accounts from Multi-Asset Execution Only, Stocks and Shares ISA, Self Invested Personal Pension (SIPP), through to Advisory and full Managed Discretionary Portfolio solutions.

In order to ensure that we provide you with the most suitable solution or range of solutions, we will need to gather a little information on your desired product and service and your personal level of experience and attitude to risk.

If you would like to find out more, please use the form below to indicate your preference or call us on +44(0)845 86 23456
You are able to select multiple choices.

Please note not all our products and services are suitable for everyone or every geographic location.

Name

SERVICE REQUIREMENT

EXECUTION ONLY

Execution Only account holders are required to make their own decisions and can make transactions at their own discretion without the assistance of an investment adviser or manager.

ADVISORY

Advisory account holders will benefit from investment advice and guidance provided by qualified professionals. The application process will require confirmation of understanding of the relevant product or service and the associated risks.

DISCRETIONARY

Discretionary account holders will benefit from receiving a fully managed investment service in strict accordance with a managed, model or blended investment selection made by you. The discretionary service is designed to benefit individuals who prefer to have a qualified, experienced investment manager oversee the day to day running of the portfolio operating in accordance with your investment product selection. The application process will require confirmation of understanding of the relevant product or service and the associated risks.

ACCOUNT TYPE
Please note SIPP and ISA account Tax treatment depends on individual circumstances and is subject to change.
You may be eligible, so please check with HMRC or your Independent Financial Advisor.

SIPP

ISA

General Investment Account (GIA)

ELECTIVE PROFESSIONAL ASSESSMENT - PART 1

I hereby confirm that I wish to be treated as an ‘Elective’ Professional Client for the purposes of the Markets in Financial Instruments Directive (2004/39/EC 2006/73/EC) and accept that I can lose assets from making investment decisions based on financial promotions and I am aware that it is up to me to seek independent advice from an investment adviser authorised under the Financial Services and Markets Act 2000 if I am in any doubt about the suitability of an investment. Please only sign this box if you choose to be classified as an Elective Professional Client.

I have carried out transactions in significant size in a relevant market(s) at an average frequency of 10 per quarter over the previous four quarters.

I work or have worked in the financial sector for at least one year in a professional position.

My financial instrument portfolio, defined as including cash deposits and financial instruments exceeds EUR 500,000.

Private Client Application

Private Client Application

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