Dear All,
I am often asked - and on an 'adding value' basis, I hereby provide my model format of 'Important Notice' wording ((c) Dan Johnson) which I generally recommend is appended prominently to all I.M.s I am involved with - I suggest generally upon the front page.
I am often asked - and on an 'adding value' basis, I hereby provide my model format of 'Important Notice' wording ((c) Dan Johnson) which I generally recommend is appended prominently to all I.M.s I am involved with - I suggest generally upon the front page.
It is important to note that each situation is different as regards financial services and markets legislation and other laws - so detailed legal advice should always be taken and no reliance should be placed upon this posting - but generally, my view is that the wording set out below 'should do the trick'.
The wording set out below is my preferred model format short form wording, which seeks to keep clients / contacts legally protected in relation to their fund-raising activities in the UK - while also seeking to give the recipient an impression of the clients / contacts being appropriately professionally advised.
Over the years - I have developed a practice of scanning the disclaimers in I.M.s I see - to get an impression of competence (well - I am a merely a lawyer, and can have difficulty in judging the business cases!) - Such that I focus upon the I.M.s which 'get the law right'. Any which don't have a disclaimer, or which are still referring to the Financial Services Act 1986 (and other such historic / irrelevant legislation or issues etc.) don't tend to receive a lot of my time.
MODEL WORDING :-
MODEL WORDING :-
"
IMPORTANT NOTICE : This communication has been prepared and distributed under the exemptions specified in the Financial Services and Markets Act 2000 (Financial Promotion) Order 2005 (the “Order”). The contents of this communication have not been approved by an authorised person for the purposes of section 21 of the Financial Services and Markets Act 2000 on the grounds that one or more exemptions under the Order apply as regards this communication.
Recipients of this communication should not further distribute this communication unless they have taken all appropriate measures to confirm that the onward recipient is a person to whom an exemption under the Order applies.
If you are in doubt about what action you should take you should consult an authorised person specialising in matters of this kind. Without formal engagement, any person involved in the distribution of this communication will not be offering advice and will not otherwise be responsible for providing client protection for transactions and arrangements proposed in this communication.
Certain of the information stated in this communication has been supplied by third parties and the contents of this communication have not been verified. Any recipient must satisfy themselves as to the accuracy of the information herein and the nature of the assets mentioned and / or to be invested in. No person accepts any responsibility for any error, omission or misstatement in this communication.
"
I hope this helps and I trust that our paths will cross again before too long!
Please feel free to let me know if I can ever help you / your contacts further.
With kind regards
Yours sincerely
Dan Johnson - Johnson + Associates - Legal Consultants
+44 7788 537 187 (Cellphone)
The Office @ 24 Bemish Road, London SW15 1DG United Kingdom | Skype : danielrobertjohnson | Global Roaming Telephone & Messaging Service: +1 646 470 1880 | Global Roaming e-Fax: +44 871 264 9515
