Dealing in Complex Instruments

Under the current regulations and the rules of the Financial Conduct Authority, we are required to satisfy ourselves that clients have the experience or knowledge to enable them to understand the risk involved when dealing in ‘complex instruments’ (which includes warrants and other derivatives). You should not deal in these instruments unless you understand their nature, the extent of your exposure to risk and you should also be satisfied that the instrument is suitable for you in the light of your circumstances and financial position. In general, these instruments can be so risky and volatile that you should not use them unless you are prepared to sustain a total loss of the money you have invested plus any commission or other transaction charges.

Complex Instruments Appropriateness Assessment Form

Download Beaufort’s Complex Instruments Appropriateness Assessment Form

Please download and read carefully Beaufort’s Complex Instruments Appropriateness Assessment Form above, and sign and return the document only if you understand and are prepared for the risks involved when dealing in this kind of instrument.

Please note that it is not possible to trade in complex instruments through a Beaufort Online share dealing account. Complex instruments are only available via our advisory service.

If you have any questions or queries regarding our Complex Instruments Appropriateness Assessment Form, please contact your Beaufort broker here.