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Section 21 Concerns

This page is intended to be used to bring to our attention any concerns a recipient of an Information Memorandum approved by Marshall Sterling Regulatory Compliance and Law might have in relation to the document or the handling of the document. 

We appreciate your comments and feedback regarding your concerns in relation to the given product.

The IM S21 approval was granted on the basis that the financial promotion was solicited [not unsolicited] and complied with the relevant section(s) of the Financial Conduct Authority rules on financial promotions (COBS 4.10 and COBS 4.12) and that the information set out is clear, fair and not misleading and as far as reasonably possible, appropriate risk warnings are in place.

For further information, please refer to: https://www.handbook.fca.org.uk/handbook/COBS

As a result of the nature of the investment product, the offer may be unsuitable for ordinary retail investors.
The distribution of the IM is restricted to persons to whom direct offer financial promotions relating to securities that constitute non–readily realisable securities and non-mainstream pooled investments may be communicated in accordance with the FCA’s Conduct of Business Sourcebook (“COBS”) referred to above.
Any person distributing the Information Memorandum to such persons must also comply with the rules on appropriateness under COBS 10.
The Offer Document has not been approved by the FCA or any other Government Body.
The approval of the document is limited to its use in accordance with these restrictions. The contents of the document should not be treated as advice and Marshall Sterling in no way endorses the quality (positive or negative) of any such investment nor accepts any liability for the performance or lack thereof. 
The IM does not constitute a prospectus to which the Prospectus Rules of the Financial Conduct Authority apply. Therefore, the IM has not been approved by the Financial Conduct Authority or any other regulatory body.
You should ensure that you have read and understood the IM in full before making an application with particular reference to the Risk Disclosures.
The investment is not covered by the FSCS and investors are unlikely to be able to complain to the FOS. 
Any recipients of the document in jurisdictions outside the UK should inform themselves about and observe any applicable legal requirements.

The communication of the Information Memorandum and the contents thereof is made to and directed at persons reasonably believed to be such persons as are referred to below and must not be passed on, directly or indirectly, to any other person in the United Kingdom:

1. Professional clients or eligible counterparties as defined in the conduct of business sourcebook (‘COBS’) of the FSA’s handbook of rules and guidance; 
2. Retail clients who confirm that they will receive advice on the investments referred to in this information memorandum from a financial adviser authorised and regulated by the FCA;
3. To the extent that the recipient is a retail client who does not fall within category (2) above, only clients falling within the following categories and subject to the condition referred to below (the ‘condition’):
i)   Certified High Net Worth investor in terms of COBS 4.12.6r
ii)  Certified sophisticated investors in terms of COBS 4.12.7r
iii) Self-certified sophisticated investors in terms of COBS 4.12.8r;
iv) Certified restricted investors in terms of COBS 4.7.10r; and any person to whom the communication may otherwise lawfully be made.

Marshall Sterling Regulatory Compliance and Law is a trading name of Marshall Sterling Investment Management which is Authorised and Regulated by the Financial Conduct Authority under FRN: 646917