Investor FAQs

 

IS CLARION FCA REGULATED?

Clarion provides introductory services (on a “non advice” basis) for businesses seeking capital and companies in the financial services sector. Introductions are a procurement service and not a regulated activity.

Clarion Introducers Ltd is registered with the Financial Conduct Authority as an Introducer Authorised Representative (IAR) of Ellis David Ltd for the provision of introductions to their company for general insurance services ONLY may not carry on or undertake any regulated business outside the scope of acting as an Introducer.

Any marketing materials distributed by companies have been approved by an FCA authorised firm in compliance with the Financial Service and Markets Act (FSMA). This ensures the information you receive is defined as “fair, clear and not misleading” and an accurate representation of the companies’ proposed investment offerings.

Any investment products or services are only offered to eligible investors via introduction to either the company directly OR an FCA authorised company in compliance with FSMA and FCA rules.

DO I PAY ANY FEES TO CLARION?

No. Clarion is paid an introductory fee by the company or product provider for procuring the interest of eligible investors. Though you may have to pay third parties, brokers or other regulated agents for their services. Any fees will be fully disclosed before any introduction is made.

IS CLARION RESPONSIBLE FOR MY INVESTMENT/PRODUCT/SERVICE?

No. Clarion acts only as the introducer and any products or services we introduce to come from completely independent providers. The performance and responsibilities of any investments, products or services lie solely with the providers themselves.

AM I GOING TO BE “SOLD TO” OR FEEL PRESSURED INTO PURCHASING PRODUCTS OR SERVICES?

Absolutely not. Clarion is an INTRODUCTORY platform, designed to connect eligible and interested investors with companies looking to raise capital. We provide information in a NON ADVISORY capacity and then affect an introduction. You will only be contacted from time to time to see if you would be interested in receiving information about investments, products or services.

WHY DO I HAVE TO AGREE TO ‘ELIGIBILITY CRITERIA’?

Agreement to the eligibility criteria is mandatory. The reason this is in place is to ensure proper and fair dealing with potential investors. Under the terms of the Financial Services and Markets Act (FSMA) only certain types of investor may receive information about unlisted securities or illiquid investments. This is enforced by the Financial Conduct Authority (FCA) to ensure that unsuitable investment products are not marketed or sold to retail consumers.

WHAT IF I DON’T MEET THE ‘ELIGIBILITY CRITERIA’?

We will be restricted in our ability to engage with yourself as an investor. You may be able to provide us with expressed permission for a referral to an FCA authorised company to handle your enquiry but largely we will not be able to on board you as a client.