Risk Warnings

Shares - general
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The value of shares and the income from them may go down as well as up and you may not get back the money you invested. It should not be assumed that the value of investments will always rise. Past performance is not a reliable indicator of future results and investment in shares carry the risk that all or some of the capital invested might be lost.investors should carefully consider their own personal financial circumstances before dealing in the stock market and should seek independent professional advice prior to investing. Investors with fixed or low income and people approaching retirement age should carefully consider the risks as described above


AIM / Small Cap

Small Cap, AIM or Aquis listed companies can be highly illiquid making them difficult to sell at the quoted price, and in some cases, it may be difficult to sell them at any price. Small Cap, AIM or Aquis listed companies can have a large bid / offer spread which means there could be a large difference between the buying and selling price.Companies listed on the Aquis market can be highly volatile and are considered high risk speculative investments.The value of your investment can go down as well as up, your Capital is at risk you may not get back the amount invested. Please ensure that you fully understand the risks involved. If in any doubt, please seek independent financial advice. Clear Capital Markets Limited is authorised and regulated by the Financial Conduct Authority FRN706689. This document is published by Clear Capital Markets and does not constitute a solicitation or personal recommendation for the purchase or sale of investment. The investments referred to may not be suitable for all investors. Any data or views given should not be construed as investment advice. Every effort is made to ensure the accuracy of the information, but no assurance or warranties are given.


T-20 Extended settlement

If you buy a share on a extended settlement you will receive the shares today but not have to pay for them until the settlement date. If you do not have the funds available at the settlement date, the shares will need to be sold. If the sale price is lower than the purchase price, you will be responsible for any shortfall.


ETFs
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Exchange Traded Funds (ETFs) are investment funds, similar to unit trusts and Open-Ended Investment Companies(OEICs) but they are traded like shares. ETFs closely track the performance of an index and as such their value can go down as well as up and you may get back less than you invested. Also, past performance is not a reliable indicator of future performance. The value of an ETF may be affected by market values, interest rates, exchange rates,volatility, dividend yields and issuer credit ratings. These factors are interrelated in complex ways, and as a result, the effect of any one factor may be offset or magnified by the effect of another factor. You should ensure that the ETF meets your own objectives and circumstances and consider the possible risks and benefits of purchasing the ETF


IPO's & Secondary Issues

The value of shares can fall as well as rise; you may not get back the amount you invested. Past performance is nota reliable indicator of future performance. Investments in IPO’s involve a high degree of risk and are not suitable for all investors. Small Cap and Companies listed on the AIM & Aquis markets, are considered high-risk investments,and will have wider spreads on price and be more illiquid and it may be difficult to sell the shares on a short-term basis and in some circumstances it may be difficult to sell at any price. All investments made into an IPO or new issue or in a secondary issue should always be made solely based on the information provided in the relevant prospectus and any other supplementary documentation. The specific risks will be detailed in the prospectus but the value of your investment can go down as well as up and you may not get back the money you invested. You should be sure that you fully understand the purpose of, and the reason for, the fundraising. Before you decide to invest you should obtain information regarding the business plan and note the risk factors. If you have any doubts about the suitability of an investment you should seek professional advice. Tax laws are subject to change and depend on individual circumstances. The investments referred to may not be suitable for all investors. Every effort is made to ensure the accuracy of the information, but no assurance or warranties are given.


Pre-IPO

Investments in pre-IPO’s involve a high degree of risk and are not suitable for all investors. A pre-IPO issue is the funding given to the company before listing, there is no guarantee that the company will list. However, even when a company is listed on, say, the AQUIS or AIM markets, it is considered to be a high-risk investment, and will have wider spreads on price and be more illiquid and it may be difficult to sell the shares on a short-term basis and in some circumstances it may be difficult to sell at any price. All investments made into a Pre-IPO should always be made solely based on the information provided in the relevant prospectus and any other supplementary documentation. The specific risks will be detailed in the prospectus, but the value of your investment can go down as well as up and you may lose all of your invested capital, do not invest unless you are prepared to do so. You should be sure that you fully understand the purpose of, and the reason for, the fundraising. Before you decide to invest you should obtain information regarding the business plan and note the risk factors. If you have any doubts about the suitability of an investment you should seek professional advice.


Conflict of interest statement

Clear Capital Markets Corporate Broking acts as a corporate broker to [the company] and may receive warrants and/or shares in [the company] as remuneration for this service. Employees and/or directors of Clear Capital Markets may deal in shares of [the company] for their own personal accounts. These scenarios may give rise to a conflict of interest where Clear Capital Markets also provides clients with an advisory service for transactions involving [the company]. The firm has established Conflicts of Interest ("COI") and Personal Account Dealing ("PAD") policies to mitigate the risk of a conflict causing damage to the interests of its clients. The measures taken include (i) enforcing minimum holding or 'lock-in' periods; and (ii) requiring internal review and approval from the compliance department for employees or directors entering into personal transactions involving [the company]. The COI and PAD policies are available upon request. Before Clear Capital Markets proceeds with a placing, a number of factors are considered including: liquidity of stock, company diversification, market capitalisation and potential news flow. Only once minimum criteria are satisfied would we elect to proceed. Any remuneration payable to Clear Capital Markets has no bearing on whether it proceeds with a placing. These administrative controls mitigate the risk of a conflict causing damage to the interest of a client, but the inherent risks of this business model cannot be eliminated. Accordingly,Clear Capital Markets is required to disclose this conflict to help clients to assess the service that they are being offered in light of Clear Capital’s own interests, and to decide on the extent (if at all) to which they will rely on, or proceed with, the service.



Clear Capital Markets Limited is authorised and regulated by the Financial Conduct Authority FRN 706689.