Please read these terms and conditions for entry to this website carefully. By proceeding, you agree to be bound by them and any additional terms and conditions described on individual pages of this website. If you do not accept the terms and conditions, please do not continue to use or access any pages of this website.
Woodstock Financial Group, Inc. (the “Company”) is not an authorized firm under the Financial Services and Markets Act 2000 (the “FSMA”), as amended, and the content of this website has not been approved by an authorized person within the meaning of the FSMA. Reliance on this website for the purpose of engaging in any investment activity may expose an individual to a significant risk of losing all of the property or other assets invested. This website is provided for information only and is not in any circumstances intended to constitute advice as to the merits of the recipient, or any other person buying, selling or subscribing for any investment or engaging in any other transaction.
Any person seeking such advice should consult a person authorized under the FSMA to give such advice. In the United Kingdom, the information in this website is directed only at persons who are or reasonably believed to be: (i) Investment Professionals under Article 19 of the FSMA (Financial Promotion) Order 2005 (the “FPO”), (ii) High Net Worth Entities under Article 49 of the FPO, (iii) Certified High Net Worth Individuals under Article 48 of the FPO, (iv) Certified Sophisticated Investors under Article 50 of the FPO, (v) SelfCertified Sophisticated investors under Article 50A of the FPO, or (vi) other persons to whom it can lawfully be communicated (together, “Relevant Persons”). The activity to which this website relates is only available to and will only be engaged in with Relevant Persons. Individuals who are not Relevant Persons should not act upon this website.
Certified High Net Worth Individuals: Under the terms of Article 48 of the FPO, “Certified High Net Worth Individual” means any individual who has a current certificate of high net worth and has signed, within a period of twelve months ending with the day on which the communication contained in this document is made to such person, a statement as reproduced on the page following the Application Form under the heading “Statement for Certified High Net Worth Individual,” and who (a) had, during the financial year immediately preceding the execution of said statement, an annual income to the value of £100,000 or more, and/or (b) held, throughout the financial year immediately preceding the execution of said statement, net assets to the value of £250,000 or more, not inclusive of (i) the property that is said individual’s primary residence or any loan secured on that residence, (ii) any rights under a qualifying contract of insurance within the meaning of the FSMA (Regulated Activities) Order 2001, or (iii) any benefits (in the form of pension or otherwise) which are payable on the termination of said individual’s service or death or retirement to which said individual is, or said individual’s dependents are, or may be, entitled.
High Net Worth Entities: For the purposes of this disclaimer, “High Net Worth Entities” mean any entities fulfilling the requirements set forth in Article 49, paragraph (2) of the FPO. Specifically, “High Net Worth Entities” refers to (a) any body corporate which has, or which is a member of the same group as an undertaking which has, a called-up share capital or net assets of not less than (i) if the body corporate has more than 20 members or is a subsidiary undertaking of an undertaking which has more than 20 members, £500,000; (ii) otherwise, £5 million; (b) any unincorporated association or partnership which has net assets of not less than £5 million; (c) the trustee of a high value trust; (d) any person (“A”) while acting in the capacity of director, officer or employee of a person (“B”) falling within any of sub-paragraphs (a) to (c) where A’s responsibilities, when acting in that capacity, involve him in B’s engaging in investment activity; (e) any person to whom the communication may otherwise be lawfully made.
Investment Professionals: Under Article 19 of the FPO, “Investment Professional” means (a) an authorized person; (b) an exempt person where the communication relates to a controlled activity which is a regulated activity in relation to which the person is exempt; (c) any other person (i) whose ordinary activities involve him in carrying on the controlled activity to which the communication relates for the purpose of a business carried on by him, or (ii) who it is reasonable to expect will carry on such activity for the purposes of a business carried on by him; (d) a government, local authority (whether in the United Kingdom or elsewhere) or an international organization; (e) any person (“A”) while acting in the capacity of director, officer or employee of a person (“B”) falling within any of sub-paragraphs (a) to (d) where the communication is made to A in that capacity and where A’s responsibilities, when acting in that capacity, involve him in the carrying on by B of controlled activities.
Certified Sophisticated Investors: Under the terms of Article 50 of the FPO, “Certified Sophisticated Investor”, means a person who has a current certificate in writing or other legible form signed by an authorized person to the effect that he is sufficiently knowledgeable to understand the risks associated with that description of investment; and who has signed, within the period of twelve months ending with the day on which the communication is made, a statement in the following terms: “I make this statement so that I am able to receive promotions which are exempt from the restrictions on financial promotion in the Financial Services and Markets Act 2000. The exemption relates to certified sophisticated investors and I declare that I qualify as such in relation to investments of the following kind [list]. I accept that the contents of promotions and other material that I receive may not have been approved by an authorized person and that their content may not therefore be subject to controls which would apply if the promotion were made or approved by an authorized person. I am aware that it is open to me to seek advice from someone who specializes in advising on this kind of investment.”
Self-Certified Sophisticated Investors: Under the terms of Article 50A of the FPO, a “Self-certified Sophisticated Investor” means an individual who has signed within the period of twelve months ending with the day on which the communication is made, a statement as reproduced on the page following the Application Form under the heading “Statement for Self-Certified Sophisticated Investor.”
General: This site has not been approved by an authorized person and such authorization is required in the absence of an exemption. The Company has in place proper systems and procedures to prevent recipients other than those listed above from engaging in investment activities to which this document relates. Persons other than those listed above should not act or rely on the information contained herein.
Woodstock Financial Group, Inc. is a U.S. securities broker-dealer registered with the Securities and Exchange Commission and the Financial Industry Regulatory Authority (FINRA).