GrowthInvest External Diversity, Inclusion & Anti-Harassment Policy

GrowthInvest is committed to cultivating and preserving a culture of diversity and inclusion.

We embrace our employees’ differences in age, colour, disability, ethnicity, family or marital status, gender identity or expression, language, national origin, physical and mental ability, political affiliation, race, religion, sexual orientation, socio-economic status, veteran status, and other characteristics that make our employees unique.

The Company’s policy is to recruit, retain, develop, reward and promote people without regard to age, race, colour, ethnic or national origins, sex or marital status, disability or any other unlawful criteria unless this cannot be avoided and is legally permitted. We simply want the best person for the job and a genuinely diverse workforce. It is important to us that the workforce of the business is as representative as possible of the community which it serves.

All GrowthInvest employees have a responsibility to treat others with dignity and respect at all times. All employees are expected to conduct themselves in a respectful and appropriate manner at all times during work, at work functions in or outside the office, and at all other company-sponsored and participative events.

Any employee who engages in any inappropriate conduct or behaviour against other employees or applicants or any persons outside of the Company such as associated or subsidiary company personnel, entrepreneurs, contractors, investors and shareholders, suppliers, clients or volunteers (collectively referred to as “Third Parties”), will be subject to disciplinary action, up to and including immediate termination of employment.

Employees who believe they have been subjected to any kind of discrimination, harassment or retaliation or any other conduct that conflicts with the Company’s diversity, anti-harassment, anti-
discrimination or any other policy should immediately report the matter to a Manager, the Managing Director or the Company HR Consultant.

Any Third Party who believes that they have been subjected to any kind of discrimination or harassment or retaliation or any other conduct that conflicts with the Company’s diversity, anti-
harassment, anti-discrimination or any other policy should immediately report the matter to the Company Managing Director or the Company HR Consultant.

The details set out in the remainder of this document detail how the Company deals with any internal discrimination, harassment or retaliation issues.

However, the Company, will endeavour to apply the same process to any similar issues raised by a Third Party, in so far as the specific circumstances and the continued involvement of the Third Party as part of the process allows (for example in helping to establish the facts relating to any issue they may report).

Equal opportunities policy

All our managers and employees are required by the Company to ensure that no discriminatory practices occur, and we will strive to ensure that this is indeed the case.

If you have a concern about an equal opportunities issue you should speak to your Manager. If you believe that the matter cannot be dealt with in this way you should speak to the Managing Director or the Company HR Consultant. If the matter cannot be resolved informally, you should use the Company’s grievance procedure.
1. Managers’ Responsibilities
  
  If you are a manager, you should:
  
  Promote equality in the workplace;
  
  Deal promptly with any complaints, grievances or disciplinary offences;
  
  Not tolerate unfair discrimination in any form, from any employee or someone who can affect an employee’s work;
  
  Review your practices and procedures regularly to ensure that you do not unfairly discriminate inadvertently; and
  
  Make sure that nobody is victimised or treated less favourably due to involvement in a complaint of unfair discrimination of harassment.
Employing disabled staff policy

The Company’s policy is to recruit, retain, develop, reward and promote people without regard to race, colour, nationality, ethnic or national origins, sex or marital status, disability, age or any other unlawful criteria, unless this cannot be avoided and is legally permitted.
Race discrimination policy

The Company will not permit or condone discrimination whether it be based on race, colour, nationality, ethnic or national origins, sex or marital status, disability, age or any other unlawful criteria, unless this cannot be avoided and is legally permitted. Discrimination is not permitted in any aspect of employment, including (but not limited to) recruitment, selection, promotion, transfer, training, pay and benefits, redundancy, dismissal, and terms and conditions of work.

All employees and other individuals working for the company are expected to take personal responsibility for upholding the company’s standards by treating all job applicants, fellow employees, customers, temporary staff, contract labour and any other individuals associated with the company with dignity and respect.

It is the positive duty of all employees to comply with this policy and appropriate disciplinary action, including dismissal for serious offences, will be taken against any employee who breaches this policy.

All managers have a particular duty to eliminate harassment and discrimination. If a manager fails to do so this may be treated as a disciplinary matter.
1. What is Discrimination?
  
  Racial discrimination is unwanted conduct based on a person’s colour, race, nationality or ethnic or national origin. The Race Relations Act is concerned with people’s actions and the effects of their actions, not their opinions or beliefs. Racial discrimination is not the same as racial prejudice or racism.
  
  Prejudice literally means prejudging someone – knowing next to nothing about them but jumping to conclusions because of some characteristic, such as their appearance.
  
  Racism is the belief that some races are superior to others – based on the false idea that different physical characteristics, such as skin colour, or ethnic background make some people better than others.
  
  Discrimination occurs when someone is treated less favourably on grounds of their sex, marriage, disability, colour, race, nationality or national or ethnic origin. It is not necessary to prove that someone intended to discriminate; it is sufficient only to show that the outcome of their action was less favourable treatment.
  
  Less favourable treatment may manifest itself by means of unwanted or unwelcome conduct, a hostile or humiliating working environment, or in decisions made affecting employment if based on discriminatory grounds. Less favourable treatment can also include harassment as described below.
2. What is Harassment?
  
  Racial harassment includes (but is not limited to):
  
  Physical contact including bullying or assault based on race;
  
  Verbal conduct such as offensive remarks, jokes, offensive comments about appearance, dress or origins; and
  
  Non-verbal behaviour such as the display of offensive pictures, objects or materials.
3. Who Does this Policy Apply to?
  
  This policy applies to all employees and other individuals working for the Company and is intended to ensure that this kind of unacceptable behaviour does not occur in the workplace or at any event in direct connection with an employee’s employment e.g. an office party or business trip. The company will also take action against any employee who brings the company’s reputation into disrepute by unacceptable behaviour during out of office hours.
4. Positive Action
  
  Selection and recruitment must be on merit although in certain circumstances employees can be given specific encouragement and training to prevent discrimination or to redress a past discrimination.
5. What can an employee do if they are aware of or involved in a racial discrimination or harassment issue?
  1. Step 1
    
    Talk to the alleged perpetrator
    
    It may be that the alleged perpetrator does not realise the impact that their behaviour is having on the recipient and/or a witness to the discriminatory behaviour.
  2. Step 2
    
    Raise the issue with their Manager, the Managing Director or Company HR Consultant
    
    If you have a concern about a discrimination/harassment issue that cannot be raised informally, you should speak to your Manager. If you believe that the matter cannot be dealt with in this way you should speak to the Managing Director or the Company HR Consultant.
    
    Raise the issue formally with their Manager
    
    If an employee raises an issue formally with their Manager, the Managing Director or the Company HR Consultant then he/she will then be obliged to set the company’s grievance procedure in motion. This may involve a formal investigation and disciplinary procedure.
    
    The Company will then investigate the allegations as soon as reasonably possible and may suspend the alleged harasser on full pay whilst the investigation is carried out.
    
    Everyone involved in the investigation will be required to maintain strict confidentiality. A breach of such confidentiality may be a disciplinary offence. Both the employee and the alleged offender may be accompanied by a colleague. If it is reasonably believed that harassment has taken place the company’s disciplinary procedure may be invoked.
Sex discrimination policy

Sex discrimination or harassment will not be permitted or condoned.

All employees are expected to take personal responsibility for upholding the company standards by treating all job applicants, fellow employees, customers, temporary staff, contract labour and any other individuals associated with the company with dignity and respect.
1. Who the Policy Applies To:
  
  This policy applies to all permanent employees and all individuals who have a personal contract to work in the Company.
2. What It Covers
  
  All aspects of employment are covered including recruitment, selection, promotion, transfer, training, pay and benefits, redundancy, dismissal and terms and conditions of work.
3. What is Sexual Harassment?
  
  Harassment can:
  
  Be any unwanted, unreasonable, offensive or unprovoked behaviour by one individual towards another, and which has the impact of making the recipient feel offended, humiliated, threatened or patronised on the grounds of his or her sex.
  
  Be unintentional. It is not however, the intention of the perpetrator which is the deciding factor, but the impact of the behaviour on the recipient which determines whether or not harassment has occurred. Behaviour that may be regarded as acceptable or tolerable by one individual may be regarded by another individual as harassment. Whether harassment has occurred will depend on all the circumstances including context, cultural differences and social norms.
  
  Involve persistent conduct or behaviour that continues after the individual receiving it makes it clear that he or she wants it to stop. A single incident can also constitute harassment if it is sufficiently serious.
  
  To intentionally cause a person harassment, alarm or distress on grounds of sex by threatening, abusive or insulting words or behaviour or displaying in writing, sign or other physical representation, which is threatening, abusive or insulting, is ‘intentional harassment’ and may be a criminal offence. Illustrations of what may constitute ‘unacceptable behaviour’ are:
  
  Physical contact ranging from touching to serious assault.
  
  Written and verbal harassment through jokes, banter, offensive language and comments, gossip and slander, letters etc.
  
  Bullying is a form of harassment where a person in authority abuses the power of that position through the use of intimidating, insulting or malicious style.
  
  Visual display of offensive posters, pictures, calendars or written material (including on personal computer and the email) and graffiti, obscene gestures etc.
  
  Coercion such as pressure for sexual favours.
  
  Isolation or non-co-operation at work, exclusion from social activities.
  
  The above is not intended to be an exhaustive list.
4. What to do if you are aware of or involved in a discrimination or harassment issue
  
  GrowthInvest has both an informal and formal process for exploring and resolving concerns related to this policy. Before starting a process, we encourage individuals who believe they are being harassed or otherwise discriminated against to tell the offender promptly that his/her/their behaviour is unwelcome and ask that it stop, though we understand that request may not be sufficient to stop the conduct.
  
  Moreover, some individuals may not feel comfortable confronting the offender directly, especially if that person is a supervisor or otherwise in a position of authority over the individual; in such cases, the informal process may be a good option.
  1. Informal Process
    
    In some instances, an individual may seek to discuss matters with her or his Manager, the Managing Director, or the Company HR Consultant; such discussion is encouraged. Under the informal process, the individual is not making a formal complaint against the alleged offender and is not requesting an investigation. Even under the informal process, an individual can request that the Manager, Managing Director or the Company HR Consultant speak to the alleged offender.
    
    Following the informal process, the individual could speak directly to the alleged offender and tell them clearly what the unwanted behaviour is and the impact the behaviour is having. It may be that the alleged offender does not realise the impact that his or her behaviour is having on the recipient.
    
    The individual should make a record of the people involved and the nature of the conversation.
    
    In most cases of an informal process no investigation will be initiated, and no action will be taken against the alleged offender if that is what the person raising the concern desires.
    
    However, the Company may decide independently that it is necessary to take action beyond an informal discussion in order to deal with that situation appropriately. For example, the Company may have a duty to investigate if the situation seems imminently dangerous or if the person may do harm to themselves or someone else. This may be the case if there are multiple reports against someone. The best course of action in any case will depend on many factors and, therefore, the informal procedure will remain flexible.
    
    Everyone should understand that the informal procedure is not a required first step for reporting on any given situation.
  2. Formal Process
    
    Raise the issue with your Manager, the Managing Director or the HR Consultant. This will be treated in confidence. Remember however, that the Company cannot guarantee that the matter will stay totally confidential. In particular, if you describe an issue that the Company considers to be important to act upon, then action will be initiated. For instance, the Company may decide to take disciplinary proceedings against your alleged offender. The Company may also want, or need, to investigate the matter further.
    
    The full process is outlined below.
    
    Notification of Manager or Senior Team Member
    
    An individual who believes she or he has been harassed or otherwise discriminated against, or who believes she or he has witnessed such a violation, can initiate a formal complaint with their Manager, the Managing Director, or the HR Consultant. That person will try to respond within two, and not longer than five, business days.
    
    Timeliness in Reporting
    
    Complaints can be made at any time. Ideally, the initial complaint should be made promptly so that rapid and constructive action can be taken before relationships become irreparably strained and while memories are fresh as to the events. Early reporting and intervention can often resolve actual or perceived incidents of harassment or discrimination, as well as prevent additional incidents.
    
    Investigation Process
    
    Every formal complaint regarding a violation of this policy will be investigated promptly. The investigation may include individual interviews with the parties involved and, where necessary, with others who may have seen or heard the alleged conduct or have other relevant knowledge.
    
    Confidentiality
    
    The complaint and investigation will be handled with sensitivity, and confidentiality will be maintained throughout the investigatory process to the extent practicable and appropriate under the circumstances.
    
    Protection Against Retaliation.
    
    Retaliation against an individual for reporting harassment or discrimination or assisting in providing information relevant to a claim of harassment or discrimination is a violation of this policy and will be treated with the same strict discipline as will the harassment or discrimination itself. Acts of retaliation should be reported immediately and will be investigated promptly.
    
    Responsive Action
    
    Misconduct violating this policy or otherwise constituting unlawful harassment or discrimination based on protected characteristics will be dealt with appropriately by GrowthInvest. Responsive action may include, without limitation, the following examples: training, referral to counselling and/or disciplinary action such as warnings, reprimands, or termination of employment, all as GrowthInvest believes appropriate under the circumstances.
    
    False and Malicious Accusations
    
    False and malicious complaints of harassment or discrimination are exceedingly rare. They are very different from complaints which are made in good faith but cannot be substantiated or represent a difference of opinion on what’s appropriate conduct. A fabricated and malicious complaint will be the subject of appropriate disciplinary action.
  3. Follow up and tracking
    
    The Company will endeavour to provide appropriate and sufficient support for individuals involved in harassment or discriminatory cases (e.g. access to counsellors or support systems) and will evaluate what is most helpful and appropriate for the individual in question on a case-by-case basis.
    
    The Company will also aim to follow up with individuals 30, 60 and 90 days following any formal complaints, and 30 days after any informal complaints.

Firm point(s) of contact for reporting harassment or discrimination issues

Internal company contact:

Daniel Rodwell
Managing Director
daniel.rodwell@growthinvest.com

Third party contact:

Michael Brading
HR Consultant
bradingm@gmail.com

Firm point(s) of contact for diversity, inclusion and anti-harassment questions

Internal company contact:

Daniel Rodwell
Managing Director
daniel.rodwell@growthinvest.com

Third party contact:

Michael Brading
HR Consultant
bradingm@gmail.com

This document (hereinafter referred to as the “Terms”) is important and you should read it carefully in conjunction with the following documents, our privacy policy, our website terms and conditions of use and our risk warning. These Terms together with the documents listed here constitute our agreement with you (hereinafter referred to as our “Agreement”). It is important that you read and understand the Agreement and the risk warnings and policies referred to above before you complete any Subscription Agreement and before you accept these Terms. If you have any questions, you should consult a financial adviser who is qualified and authorised to give investment advice. We can’t provide you with any financial advice, but if you have any questions about the application process please feel free to contact us. Our details are in the contact section on our website and at the end of these Terms.

This Agreement is a legally binding contract under which we both have rights and obligations to each other. This Agreement sets out the terms of the Agreement between you (hereinafter referred to as “you” or “your”) as the individual named in the registration process for the purposes of using the services provided by EIS Platforms Limited (herein after referred to as “EISP”) on its website, currently under the trading name Growth Invest, (herein after referred to as the “Platform”). EISP may use a third-party nominee company in the provision of the services who together with EISP shall be referred to as “we” or “us”.

GLOSSARY

In these Terms :

"Business Day" means a day that the London Stock Exchange is open for business.

"Closing Date" means the date that an Investment round of funding may be completed. The Closing Date shall be determined by us in conjunction with Investee Company or may be determined by the Manager.

"Confidential Information" means all information and materials made available by us either via the Platform or otherwise or by any third party in connection with an Investment. Or any information that you may provide to us that is marked as confidential.

"DPA" means the Data Protection Act 1998.

"EIS" means the Enterprise Investment Scheme established under Part 5 of the Income and Taxes Act 2007.

"EIS Qualifying Company" means a company that qualifies for investment in accordance with the provisions of EIS.

"FCA" means the Financial Conduct Authority, which expression shall include any replacement or substitute and any regulatory body or person succeeding, in whole or part, the functions of the FCA, or any other relevant supervisory body.

"Fund" means an investment fund that normally contains a portfolio of investments, the investment strategy for which is run by the fund Manager. This also includes funds that hold investments in Qualifying EIS Companies, Qualifying SEIS Companies, and /or Investee Companies.

"Investment" means the equity or other interest (as further described in the Subscription Agreement or any Prospectus that may be made available) to be acquired on your behalf by using the Subscription Funds provided by you.

"Investee Company" means any company which is seeking to raise funding via the Platform.

"Manager" means the FCA regulated investment manager to the Fund that will act as the alternative investment manager to the Fund;

"Nominee" means Platform One Limited whose registered office is at Cedar House, 3 Cedar Park, Cobham, Wimborne, Dorset BH1 7SB, who provides an online investment administration and asset consolidation service and is authorised and regulated by the FCA (no. 542059), or such other third party that may fulfil such function with the prior consent of you and EISP.

"Prospectus" means the relevant prospectus for the Fund prepared, approved and issued by the Manager, including any Supplement issued and any sub-fund prospectus, as they may be further amended, supplemented, restated or otherwise modified from time to time;

"SEIS" means the Seed Enterprise Investment Scheme enacted by the Finance Act 2012 and established in Part 5A of the Income and Taxes Act 2007.

"SEIS Qualifying Company" means a company that qualifies for investment in accordance with the provisions of SEIS.

"Subscription Agreement" means the form to be completed by you in order to apply to subscriber to make an Investment. The type of form will vary depending upon the type of Investment and will either be made available via the Platform or send to you in the post or by e-mail by EISP or a third party.

"Subscription Funds" means the funds provided by you for the purpose of investing in an Investment opportunity in accordance with these Terms.

"Qualifying Investment" means an investment in a SEIS Qualifying Company or EIS Qualifying Company or a Fund which includes such companies.

In these Terms, except where the context otherwise requires, any reference to:

the singular includes the plural and vice versa;
references to gender include references to all genders;
unless otherwise stated, references to sub-clauses, clauses and Annexes are to sub-clauses, clauses and annexes to these Terms;
the clause headings are for reference only and shall not affect the construction or interpretation of these Terms;
references to any party shall, where relevant, be deemed to be references to or to include, as appropriate, their respective lawful successors, assigns or transferees;
references to statutes, any statutory instrument, regulation or order shall be construed as a reference to such statute, statutory instrument, regulation or order as amended or re-enacted; and
references to a “person” include any individual, company, corporation, firm, partnership, association, organisation, institution, trust or agency, whether or not having a separate legal personality; and
the words “include” or “including” are to be construed as meaning without limitation.
A reference to writing or written includes e-mails and other electronic communications messages including those delivered via the Platform.

AGREEMENT
1. This Agreement sets out the entire understanding between us and you and supersedes any previous terms and conditions which may have been displayed on the Platform or provide by EISP to you. The Platform includes other information and materials however these DO NOT form part of this Agreement. Your use of the Platform and any services that may be provided by EISP is conditional upon your acceptance of this Agreement. In the event that you do not agree with these terms you should cease to use the Platform and any other services provided by EISP immediately. In the event of any conflict between these these terms and the conditions set out in any Subscription Agreement, the Subscription Agreement shall prevail.
2. In fulfilling the services to be provided by EISP in relation to this Agreement, you may also need to agree to terms and conditions of third-parties, these may include the Nominee and /or the Manager of a Fund. In such circumstances the terms and conditions imposed by these third parties will be made available to you for review and approval before the subscription process for an Investment is completed. These are important documents and will include details of management and other fees that will be payable by you and should therefore be reviewed carefully. You should note that EISP is acting as a gateway to the services provided by these third parties and we accept no liability whatsoever for any of their acts or omissions.
3. From time to time we may make changes to these terms, for example due to changes in legislation or changes in our business requirements. We will endeavour to provide with 30 days’ notice of any changes, however this may not always be possible if the change is because of a change in legislation, or by a regulator or in some instances for operational reasons. We will however endeavour to always let you know as soon as reasonably practical. Any new version of these terms displayed on the Platform will automatically replace any previous version.
4. EISP does not provide you with any advice (this includes taxation advice, investment advice, legal advice or any other advice connected with any services it may provide or offer, or transactions that take place via its Platform. You warrant to us that in the event that you enter into any Investment opportunity that may be made available on the Platform from time to time you are doing so entirely based upon your own assessment of the risks and effects associated with such decision.
5. If you are an individual EISP will treat you as a “retail” client for the purposes of the Financial Conduct Authority rules (you can review details on their website www.fca.org.uk) unless we advise you otherwise. During the registration for the Platform you will may have provided answers to questions that allow you to provide self-certification. You warrant to us that any answers you provided were provided entirely by you and without any help from anyone else, that they are accurate and genuinely apply to you. In the event that your circumstances change or you wish to change your client classification you should advise us. While we will consider your request, we are not bound to accept it.
YOUR INVESTMENT DECISION
1. All decisions as to whether to subscribe or make an Investment are at all times your sole responsibility. Furthermore, while we or third parties may make information available in relation to any Investment opportunity we are not responsible for (i) the accuracy or completeness of any such information; (ii) providing you with any advice with regards to the merits, risks, suitability, appropriateness or consequences of any Investment; (iii) undertaking any due diligence in relation to the Investment or checking or confirming any information that may have been provided to EISP, or third-parties acting on its behalf, in order to categorise a due diligence level on the Platform; or (iv) the provision of any activity whatsoever that could constitute the provision of investment services to you.
2. You acknowledge that EISP has no responsibility for monitoring the performance of any Investment or any ongoing service that may be provided to you by your financial advisor and that we have no liability for any losses you may suffer as a result of any advice provided to you by any third party, including your financial advisor. Furthermore, you acknowledge and accept it is your responsibility to keep your financial circumstances and objectives under review and confirm that we have not provided you with any investment advice, taxation advice, or recommendations in respect of the Investments.
3. You confirm that you have read and understood the risks warnings associated with making an Investment and appreciate that the nature of the Investments on the Platform make them unlikely to be readily realisable, i.e. they may be difficult or impossible to sell.
4. Once you have submitted your Subscription Agreement and provided the Subscription Funds it can’t be cancelled. If your circumstances change and you change your mind with regards to an Investment, please let us know as soon as possible. We are unable to provide you with any guarantee but if your Subscription Funds have not been invested we may be able to return them less any fees and expenses we incur or which may be levied by us, the Nominee or Manager.
SERVICES PROVIDED BY EISP AND VIA THE PLATFORM
1. We will only start to provide services once we have received your duly completed Subscription Agreement and we have successfully and to our satisfaction undertaken the customer due diligence checks required by any applicable rules and have received your cleared Subscription Funds. We reserve the right not to accept any Subscription Agreement at our option for any reason we may decide and acting in good faith. In the event that EISP rejects a Subscription Agreement for any reason it will arrange to return any Subscription Funds paid in respect of such Investment opportunity as soon as reasonably possible.
2. The due diligence procedures referred to in Clause 3.1 above include requiring proof of your identity and of your address. We may undertake an electronic search for the purposes of verifying your identity and address. To do so, we may check the details you supply against your particulars on any database (public or otherwise) to which we have access. We may also use your details in the future to assist other companies for verification purposes. A record of this search will be retained. If we cannot verify your identity, we may ask you to provide, among other things, a recent, original bank statement and an original HMRC Tax Notification, or a copy of your passport certified by a bank, solicitor or accountant or a client verification certificate from your Financial Advisor. By accepting the Agreement, you consent to EISP carrying out the checks referred to in Clause 3.1 above, and you agree that we may pass on such information as we consider necessary to comply with any such regulatory requirements.
3. You warrant that any Subscription Funds you provide belong to you and that any Investments will belong to you and shall at all times belong to you and shall remain free of any charge, lien or pledge. You also warrant that all information you provide to us is accurate and complete in all material respects and confirm that you will notify us as soon as possible in the event of you becoming aware of any inaccurate or incomplete information you may have provided to us.
4. We will acknowledge receipt of your Subscription Agreement and once we have received cleared Subscription Fund we will begin the investment process or its co-ordination in accordance with the timescales indicated on the Platform or in the Prospectus or as we may otherwise advise in relation to a particular type of Investment. It should be noted that for certain types of Investments, e.g. Funds the investment process will be undertaken by the Manager.
5. EISP currently offers, via its Platform, various Investment opportunities for investors to invest in tax efficient structures regulated by the FCA – these include:
  EIS Investments;
  
  SEIS Investments;
  
  EIS and SEIS Funds;
  
  Investment Trust;
  
  Bonds;
  
  Discretionary Management Services; and
  
  Companies or special purpose vehicles.
6. The Platform offers the opportunity for making Investments in companies or Funds which may include Qualifying Investments. However, EISP does not give any guarantee or make any representation that any such Investment will remain a Qualifying Investment. Any taxation which may become payable in relation to any Investment or the disposal thereof shall be your responsibility. For the avoidance of doubt, in the event that an Investment ceases to be a Qualifying Investment then it shall be your liability to account to HMRC for any tax liability that may arise and EISP shall not in any way be liable for any tax liability that may arise.
7. We will accept the transfer of your existing investments from other managers so that they can be viewed on the Platform. If you want to transfer investments from another manager you will need to complete a transfer of authority form and return it to us. Please contact us if you are interested in making a transfer.
8. Any Investments you hold on the Platform, including any share certificates, title of ownership or related documents will be held in the name of the Nominee. Any Subscription Funds you provide will be sent directly to the Nominee and not to EIS. We will, keep or procure that the Nominee keeps records to show that you are the beneficial owner of the Investments and/ or Subscription Funds. You confirm that you consent to the Investments being held in the name of the Nominee.
9. You consent to receiving statements, reports or other information that may be provided in relation to any Investment being provided via the Platform and for copies of the same to be made available to EISP. EISP will use its reasonable endeavours to make all such information in relation to an Investment available for review on the Platform.
10. Fees due to EISP will be charged to the Investee Company or Manager on the Closing Date or, if different, the date that the Investment process is completed. In some circumstances an Investment may be subject to annual charges, initial charges and success fees, details of which will be set out in the Prospectus. Furthermore, in the event that you have engaged the services of a financial advisor they will typically be due an advisor fee and should have provided you with information concerning the basis of their charges. In each of these circumstances you give EISP authority to deduct, or instruct the Nominee, to deduct any fees or charges, with any appropriate taxes applied e.g. value added tax, that may be due to it or a third party from any Subscription Funds held by the Nominee.
LIABILITY
1. We will always aim to act in good faith and with due diligence in the provision of our services. Nothing in this Agreement will operate to exclude or restrict EISP’s liability for death or personal injury caused by its, its employees or subcontractors negligence. Furthermore, nothing in this Agreement shall operate to restrict EISP’s liability relating to fraud, wilful default or fraudulent misrepresentation, or any liability that cannot be excluded by law.
2. Subject to clause 4.1 above, EISP has no to liability to you, whether in contract, tort (including negligence), breach of statutory duty or otherwise, for any loss of profits, or for any indirect or consequential loss or cost which you may suffer or incur arising out of our acts or omissions, however that loss, liability or cost is caused and regardless of whether it was foreseeable or not.
3. EISP shall have no liability for the actions and/omission of any third party that acts as Nominee, Manager, or any other person or entity that holds money, investments or documents of title in any Investment or Investee Company.
4. EISP we will not be liable for any loss in value which any Investment may suffer, loss of any tax benefits howsoever caused, or for our failure to process any instruction to make an investment or for any failure, interruption or delay in the performance of our obligations resulting from acts, events or circumstances that are not reasonably within our control. Acts, events or circumstances that are not reasonably within our control, may for example, include: the acts or regulations of any governmental, supranational body or authority; breakdown, failure or malfunction of any telecommunications or computer service or services; disruptions to stock markets and acts of war, terrorism, civil unrest or natural disaster.
TERM AND TERMINATION
1. This Agreement shall commence on the date that it is accepted by you by providing confirmation via the Platform and shall continue until such time until the Investment has been disposed of unless terminated earlier in accordance with the provisions set out in this section 5.
2. By either party in the event that EISP ceases to be permitted by law or authorised as an Authorised Representative Firm to provide the services contemplated by this Agreement.
3. At any time, by EISP, by giving you not less than one months’ written notice of termination.
4. With the prior consent of EISP and the Nominee in the event that you wish to have all the Investments transferred into your name personally or to a different provider of custody, administration and Investment account.
5. By you in the event that EISP is dissolved or ceases to trade.
6. By either party in the event that the other has committed a material breach of the Agreement, has been requested to rectify it and has failed to do so within 10 Working Days of the receipt of the request.
7. Upon termination of this Agreement the Investments will still be held be in the name of the Nominee and you should refer to their terms and conditions if you wish to transfer the Investments into your name personally or to a different provider of custody, administration and Investment account.
8. Termination of this Agreement shall be without prejudice to any rights that may have accrued to any Party against the other before termination became effective. Furthermore, the terms of the Agreement will continue to apply until all outstanding transactions have been completed and discharged.
CONFIDENTIALITY
1. Except as provided by Conditions 6.2 and 6.3, each Party shall at all times during the term of the Agreement and after the termination or expiry of the Agreement:
  1. treat in confidence the other's Confidential Information and not disclose the other's Confidential Information to any other person; and
  2. not use any Confidential Information for any purpose other than for the performance of its obligations under the Agreement.
2. Any Confidential Information may be disclosed by the Party to whom it is disclosed or to whose attention it comes (the “Recipient”) to:
  1. any court, governmental or other authority or regulatory body (including, without limitation, the FCA);
  2. any employees, agents, consultants or sub-contractors of the Recipient; or
  3. the Nominee (or any replacement provider of the Investment account), and any authorised agent acting for either of them from time to time in relation to the matters with which the Agreement is concerned, to such extent only as is necessary for the purposes contemplated by this Agreement, or as is required by law, and subject in each case to the Recipient using its reasonable endeavours to ensure that the person to whom it discloses Confidential Information keeps the same confidential.
3. Subject to Condition 6.2, any Confidential Information may be used by the Recipient for any purpose, or disclosed by the Recipient to any other person, to the extent only that:
  1. it is at the time that this Agreement commences, or thereafter becomes, public knowledge through no fault of the Recipient (provided that in doing so the Recipient shall not disclose any Confidential Information which is not public knowledge); or
  2. it can be shown by the Recipient, to the reasonable satisfaction of the disclosing Party, to have been known to the Recipient (other than as a result of a breach of confidence) prior to its being disclosed by the disclosing Party to or otherwise coming to the attention of the Recipient under or in connection with this Agreement.
4. Upon termination or expiry of the Contract, each Party shall ensure that all Confidential Information belonging to another Party (in whatever medium the same is recorded or held) is returned, deleted or destroyed according to the written instructions of the other Party save that copies of any documentation may be retained by a Party where it is necessary in order to fulfil a regulatory or legal obligation to keep such records.
COMPLAINTS
1. We believe you deserve a courteous, fair and prompt service. We strive to treat all our customers fairly.
2. If you feel something isn’t right then please let us know by emailing us at complaints@growthinvest.com. Or if you prefer to telephone or write our details are on our contact page.
3. If there is an occasion when our service does not meet your expectations please contact us to help us deal with your issue quickly and effectively. As an Appointed Representative firm, we are obliged to follow best practice and the FCA guidelines. These are available here (https://fshandbook.info/FS/html/FCA/DISP).
4. When we receive your complaint we will respond within 7 Working Days via email or if the complaint was by letter, the reply will be sent first class on the 7th Working Day after the complaint was received. We will acknowledge the complaint within 5 business days of receiving it and keep you informed of progress and do our best to resolve matters to your satisfaction within 8 weeks. If we are unable to do this, you may be entitled to refer the complaint to the Financial Conduct Authority or Financial Ombudsman Service.
GENERAL
1. No failure on the part of either party to exercise, and no delay on its part in exercising, any right or remedy under this Agreement shall operate on a waiver thereof, nor shall any single or partial exercise of any right or remedy preclude any other or further exercise thereof or the exercise of any other right or remedy. The rights and remedies provided in this Agreement are cumulative and not exclusive of any rights or remedies provided by law.
2. Each of the provisions in this Agreement are separate and severable and enforceable accordingly and if at any time any provision is adjudged by any court of competent jurisdiction to be void or unenforceable the validity, legality and enforceability of the remaining provisions hereof shall not in any way be affected or impaired thereby.
3. EISP represents and warrants that it shall act in compliance with any FCA rules that may apply to it from time to time relating to its handling of conflicts. EISP implements and maintains a conflicts of interest policy and will make a copy available on request. EISP may hold investments in any Investee Company and may provide them with other services to support their business.
4. EISP may assign this Agreement in whole or part and at its sole discretion to any other group company. EISP will advise you if it makes any such assignment. This Agreement is personal to you and may not be assigned by you. We may delegate any of our functions under these terms to a third party of our choosing which is competent (and if relevant, appropriately regulated) to perform such functions.
5. Nothing in this Agreement shall be construed to create a partnership, agency or joint venture between the parties.
6. A person who is not party to this Agreement has no rights under the Contracts (Right of Third Parties) Act 1999, to enforce any of its provisions.
7. This Agreement contain all of the terms agreed upon or made by the parties relating to the subject matter of this Agreement, and supersede all prior and contemporaneous agreements, negotiations, correspondence, undertakings and communications of the parties, oral or written, respecting such subject matter.
8. Each of the provisions in this Agreement are separate and severable and enforceable accordingly and if at any time any provision is adjudged by any court of competent jurisdiction to be void or unenforceable the validity, legality and enforceability of the remaining provisions hereof shall not in any way be affected or impaired thereby.
9. EISP represents and warrants to you that it is appropriately registered under the DPA for all purposes related to the performance of its obligations and functions under this Agreement, and further represents and warrants that it shall maintain such registration, comply with all applicable data protection legislation during the term of this Agreement. Further details in relation to our storage and use of personal data is set out in our privacy policy.
NOTICES
1. EISP may send any communications to you at the address which you provide to us in the application form (or to any other address that you may notify to us in writing from time to time). You may communicate with us at the address at the bottom of these Terms.
2. Notice sent by first class post is deemed to have arrived on the second business day after posting. Notice sent by fax or email or hand delivered is deemed to be delivered immediately (or on the next business day if sent after 5pm on a business day or on a day which is not a business day). Telephone calls may be recorded or monitored for our mutual protection.
GOVERNING LAW AND JURISDICTION
This Agreement shall be governed by and construed in accordance with English law and the parties agree to submit to the exclusive jurisdiction of the Courts of England and Wales.

OUR DETAILS

The Platform is owned and operated EIS Platforms Limited. If you have any questions in relation to its use or contact details are set out below.

GrowthInvest
Candlewick House
120 Cannon Street
London
EC4N 6AS
United Kingdom

Email: enquiries@growthinvest.com
Telephone: 020 7071 3945

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