INTRODUCER FLOW DIAGRAM

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Presentation transcript:

INTRODUCER FLOW DIAGRAM +44 (0)20 3326 2800 ¦ invest@rewsuk.com Renewable Energy Waste Solutions UK plc First Floor Thavies Inn House / 3-4, Holborn Circus, London, United Kingdom. EC1N 2HA Company Number: 10641513

PRE-MARKETING MARKETING INVESTOR INTEREST NOTIFICATION TO REWS Introducer ensures that pre-marketing compliance checks has been completed, namely that the Investor is an exempt individual, has filled out the relevant investor form MARKETING Introducer markets opportunity to invest into REWS via calls to the investor INVESTOR INTEREST Investor indicates interest in investing in REWS being marketed to him NOTIFICATION TO REWS Introducer sends signed declaration to REWS

REWS SENDS MARKETING INFORMATION Investor reviews teaser and marketing brochure INTRODUCER FOLLOWS UP WITH INVESTOR Investor contacts introducer to confirm interest in debt investment. REWS informed. INVESTOR PROCEEDS WITH INVESTMENT Introducer fills out deal ticket & sends to REWS REWS SENDS APPLICATION FORM & OFFERING DOCUMENT TO INVESTOR Investor reviews Application Form & Offering Document

COMPLETION OF APPLICATION FORM PAYMENT INTO REWS ACCOUNT Investor completes and signs application form and sends to REWS PAYMENT INTO REWS ACCOUNT Investor transfers funds directly to REWS. Acknowledgment of receipt of subscription funds sent to Introducer & Investor COMPLIANCE CHECKS REWS undertakes AML checks and undertakes compliance call with investor INVESTMENT COMPLETE REWS issues bond certificate & instument to investor INVOICE ISSUED Introducer sends invoice to REWS for payment REWS MAKES PAYMENT

ACTION LIST INTRODUCER REWS Obtain declaration from investor before financial promotion, either: Self Certified Sophisticated Investor; or High Net Worth Individual. Marketing to investor via telephone and/or one to one meetings. Keeping investor up-to-date with investment process. Notifying investor of the AML documentation that is required for the investment. REWS Upon receiving signed declaration, REWS will be responsible for sending the following to the investor: Teaser; Marketing brochure; Offering Document; Application Form; and Bond Certificate. Confirming receipt of funds. Conducting AML checks. Completing a recorded compliance call with the investor after investment funds have been received.

Acceptance: I, ……………………….., the representative of …………………………………. hereby confirm that we accept and will adhere to the processes laid out in this document. Signature: ………………………………………….. Date: …………………………………………...