NIVIN INVESTMENTS

Specialists in High Yield Investments

​What is a wholesale client?


If you satisfy any one of the following five categories, you can apply to be recognised as a wholesale
client:


1. High Net Worth Investor

A person or entity who has either:
          a) Net assets of $2.5 million or more; or
          b) A gross annual income of $250,000 or more for each of the last two financial years.
To apply under this category, a qualified accountant must certify that the person or entity satisfies this criteria and the certification must be no more than six months old.​


2. Professional Investor

A person or entity who:
          a) Has or controls gross assets of at least $10 million (this may include funds held by an associate or under trust);
          b) Holds an Australian financial services licence;
          c) Is a body regulated by APRA other than a trustee of any of the following within the meaning of the Superannuation Industry       (Supervision) Act 1993:
                    (i) A superannuation fund;
                    (ii) An approved deposit fund;
                    (iii) A pooled superannuation trust; or
                    (iv) A public sector superannuation scheme;
          d) Is a body registered under the Financial Corporations Act 1974;
          e) Is the trustee of:
                    (i) A Superannuation fund; or
                    (ii) An approved deposit fund; or
                    (iii) A pooled Superannuation trust; or
                    (iv) A public sector superannuation scheme 

                    within the meaning of the Superannuation Industry (Supervision) Act 1993 and the fund, trust or scheme has net assets of the least $10 million;
          f) Is a listed entity or related body corporate of a listed entity;
          g) Is an exempt public authority;
          h) Is a body corporate or an unincorporated body that:
                    (i) Carries on a business of investment in financial products, interests in land or other investment; and
                    (ii) For those purposes, invests funds received (directly or indirectly) following an offer or invitation to the public within the meaning of Section 82 of the Corporations Act 2001 (Cth), the terms of which provided for the funds subscribed to be invested for those purposes;
                    (i) Is a foreign entity that, if established or incorporated in Australia, would be covered by one of the preceding paragraphs. 


To apply under this category, a Professional Investor Declaration form must be completed and supporting evidence that you meet the criteria must be provided. (Only one of the above paragraphs need apply).


3. Large Business


Being a business that employs not less than:
          a) 100 people if the business is or includes the manufacture of goods; or
          b) 20 people in all other cases.
To apply under this category, supporting evidence that you meet the criteria must be provided.


4. Significant Investor


A person or entity who invests at least $500,000 in any one opportunity and the minimum investment amount is $500,000.


5. Section 761GA Investor – Sophisticated Investor


A person or entity who is receiving a financial product or service not in connection with a business and meets the criteria contained in Section 761GA of the Corporations Act 2001 (Cth) as set out below:
          a) The financial product being provided is not a general insurance product, a superannuation product or an RSA product;
          b) The person or entity has established that it has previous experience in using financial services and investing in financial products that enables it to assess:
                    (i) The merits of the product or service; and
                    (ii) The value of the product or service; and
                    (iii) The risks allocated with holding the product; and
                    (iv) The client's own information needs; and
                    (v) The adequacy of the information given by the licensee and the product issuer.
To apply under this category, sufficient evidence must be provided to satisfy GFIN Financial Solutions and an acknowledgement pursuant to Section 761GA(f) of the Corporations Act 2001 (Cth) must be provided once GFIN Financial Solutions is satisfied that you meet the requirements. 

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