ASP Private Capital
Trading name of ASP Consulting Partners Ltd
Last Updated: 27 October 2026

1. Introduction

This Investment & Investor Qualification Policy ("Policy") outlines the principles, procedures and standards adopted by ASP Private Capital ("ASP", "we", "us" or "our") in relation to prospective investor enquiries, qualification, private-market investment introductions and ongoing client relationships.

ASP Private Capital is a trading name of ASP Consulting Partners Ltd, a company registered in England and Wales under company number 09641362.

Our approach is founded on discretion, transparency, informed engagement and the development of lasting professional relationships.

This Policy is intended to help prospective investors and professional intermediaries understand how we operate, the requirements that may apply to investment opportunities and the respective responsibilities of ASP, investment providers and investors.

2. Our Role and Investment Philosophy

ASP operates as a private-capital introducer and liaison, facilitating connections between qualifying investors and selected third-party investment providers.

Our philosophy is centred on the principle that effective investment introductions begin with an understanding of the individual investor.

We seek to understand each prospective client's circumstances, investment interests, objectives and requirements before discussing opportunities that may be relevant to their stated criteria.

Our activities may include:

• Reviewing prospective investor enquiries and qualification information.

• Discussing investment interests, objectives and relevant access requirements.

• Identifying opportunities for potential introduction.

• Coordinating relevant information and documentation with investment providers.

• Facilitating professional communication between investors and providers.

• Maintaining ongoing relationships and assisting with information requests where appropriate.

ASP does not independently manage investment portfolios, hold investor assets or guarantee investment performance.

Our qualification and introduction activities do not constitute personalised investment advice or a determination that an investment is suitable for any particular investor.

3. Investment Opportunity Categories

ASP may facilitate introductions across selected private-market sectors, subject to opportunity availability, investor eligibility and applicable regulatory requirements.

These sectors may include:

Private Equity

Opportunities involving private companies, business expansion, growth capital, acquisitions and established business investment.

Managed Funds

Investment vehicles operated by third-party fund managers according to defined investment mandates, strategies and risk parameters.

Precious Metals

Opportunities involving physical precious metals or related investment structures, subject to the specific provider's ownership, custody and commercial arrangements.

Private Credit and Property-Backed Lending

Opportunities involving private lending arrangements, including structures supported by property or other forms of security.

Renewable Energy and Infrastructure

Opportunities associated with energy generation, infrastructure development and related commercial projects.

Structured Finance

Investment arrangements involving structured financial instruments, contractual cash flows or underlying assets.

Digital Assets

Selected managed cryptoasset or digital-asset strategies, where legally permissible and appropriate for the intended investor audience.

The inclusion of a sector in this Policy does not confirm that a particular opportunity is currently available or approved for promotion.

4. Investor Eligibility

ASP's introductory services are directed towards prospective investors and professional intermediaries who may meet the eligibility requirements applicable to the opportunities under consideration.

Depending on the investment structure and relevant legal framework, eligible participants may include:

• High Net Worth Individuals.

• Sophisticated Investors.

• Family Offices.

• Professional Investors.

• Wealth Managers.

• Professional Introducers.

• Other qualifying individuals or entities.

Each category may be subject to specific legal definitions, certification requirements or provider conditions.

For example, the statutory criteria applicable to certain high-net-worth or sophisticated-investor financial promotions may require prescribed investor statements, specified financial thresholds or evidence of relevant experience.

ASP will not treat a visitor's selection of an investor category on a website form as conclusive proof of eligibility.

Where necessary, further verification may be required before restricted investment information is communicated or an introduction proceeds.

5. Initial Enquiry and Investor Assessment

Prospective investors may begin the process by submitting a qualification form, making an enquiry or arranging an introductory consultation.

During the initial assessment, ASP may request information concerning:

• Investor classification and professional status.

• Investment interests and preferred sectors.

• Indicative capital allocation.

• Intended investment timeframe.

• Investment experience and familiarity with private markets.

• Liquidity preferences and investment objectives.

• Other relevant circumstances affecting the proposed introduction.

Information is requested to help establish whether an enquiry falls within ASP's intended scope of activities and whether further discussions may be appropriate.

ASP may request clarification or supporting information where necessary.

Submission of information does not create an entitlement to investment access or guarantee acceptance by ASP or any third-party provider.

6. Qualification and Verification

Investor qualification is an important component of ASP's introduction process.

Before facilitating access to particular opportunities, ASP may seek to establish whether the prospective investor meets the relevant eligibility criteria.

The required checks will depend on the investment, the intended recipient, the provider and applicable legislation.

These may include:

Investor Classification

Confirmation of the applicable investor category, including any prescribed certification or declaration requirements.

Identity Verification

Verification of identity and relevant personal or organisational information where required.

Source of Funds

Information concerning the origin of investment capital where required by applicable law or the investment provider.

Professional Capacity

Confirmation of authority to act on behalf of an organisation, client or investment vehicle where applicable.

Regulatory Eligibility

Assessment of any restrictions relating to the investment's promotion, distribution or availability.

Additional verification, including anti-money laundering and know-your-customer procedures, may be undertaken by the relevant investment provider.

ASP reserves the right to decline or discontinue an introduction where relevant eligibility requirements cannot be established or proceeding would be unlawful.

7. Opportunity Identification and Review

ASP seeks to approach opportunity introductions through an informed and considered process.

Before discussing an opportunity with a prospective investor, we may review information supplied by the associated provider concerning the investment's structure, underlying assets, commercial terms and intended investor audience.

Relevant considerations may include:

• The nature and purpose of the investment.

• The identity and role of the investment provider.

• The proposed investment structure.

• Available supporting documentation.

• Capital requirements and investment duration.

• Liquidity and withdrawal arrangements.

• Principal risks and relevant commercial considerations.

• Applicable eligibility and regulatory restrictions.

The extent of ASP's review may vary depending on the nature of the opportunity and the information available.

Such review is intended to inform our introduction process and does not constitute an independent audit, formal investment due diligence, endorsement or guarantee of the provider or investment.

Investors remain responsible for conducting their own assessment.

8. Provider Disclosure and Introductions

Where a prospective investor's enquiry progresses beyond the initial qualification stage, ASP may arrange a consultation to discuss relevant opportunities and the associated access requirements.

The identity of the relevant investment provider and additional opportunity information may be disclosed at an appropriate stage, subject to confidentiality, applicable law and any necessary investor qualification.

Once an introduction is considered appropriate, ASP may coordinate contact between the prospective investor and the relevant provider.

The provider is responsible for explaining its offering, supplying applicable investment documentation and confirming its own acceptance requirements.

An introduction does not constitute an endorsement of the provider's financial condition, regulatory status or investment performance.

ASP does not guarantee that any prospective investor will be accepted by a provider.

9. Investor Due Diligence

Investors are expected to undertake appropriate independent due diligence before committing capital.

This may include reviewing:

• The provider's legal identity and regulatory status.

• Investment agreements and offering documentation.

• Financial information and relevant performance disclosures.

• Investment risks and potential loss scenarios.

• Ownership, security and custody arrangements.

• Management and transaction fees.

• Liquidity restrictions and exit provisions.

• Relevant legal and tax implications.

Investors should seek independent professional advice where appropriate.

Any information supplied or coordinated by ASP should be considered alongside the provider's formal documentation and the investor's own independent assessment.

ASP does not warrant that information supplied by third parties is complete or free from error.

10. Investment Decisions and Execution

All investment decisions remain the responsibility of the individual investor or the appropriately authorised decision-maker acting on their behalf.

Where an investor elects to proceed, the relevant provider will ordinarily manage the formal investment process.

This may include:

• Final investor eligibility verification.

• Identity and source-of-funds checks.

• Completion of investment agreements.

• Subscription or purchase documentation.

• Payment instructions and settlement.

• Confirmation of acceptance and ownership or contractual rights.

Investors should verify all payment instructions and contractual arrangements directly with the relevant provider through independently confirmed communication channels.

ASP does not ordinarily receive, hold, administer or control investor funds or investment assets.

Any investment transaction is governed by the relevant provider's formal documentation and applicable law.

11. Investment Risks

Private-market investments can involve substantial financial risk and may not be appropriate for all investors.

Risks may include:

Capital Loss

Investors may lose some or all of their invested capital.

Limited Liquidity

Certain investments may be difficult to sell, transfer or redeem before maturity or an anticipated exit.

Market Risk

Economic developments, interest rates, inflation, currency movements and changing market conditions may adversely affect investment values.

Provider and Counterparty Risk

The financial condition, operational capability or failure of a provider or other counterparty may affect investment outcomes.

Valuation Risk

Private assets may be difficult to value accurately, particularly where active secondary markets are unavailable.

Structural and Legal Risk

Investment rights, ownership arrangements, security interests and contractual protections may vary significantly between opportunities.

Digital Asset Risk

Cryptoasset-related investments may involve extreme volatility, cybersecurity threats, technology failures, regulatory uncertainty and the possibility of total capital loss.

Investors should not commit funds they cannot afford to lose or rely on anticipated returns as guaranteed income.

12. Ongoing Relationships and Support

ASP places significant importance on maintaining constructive, long-term relationships with clients beyond the initial introduction.

Where appropriate, our ongoing engagement may include:

• Maintaining direct communication with investors.

• Discussing changes in stated investment interests and objectives.

• Coordinating requests for information from investment providers.

• Facilitating communication concerning material market or provider developments.

• Assisting with enquiries relating to existing provider relationships.

• Discussing potential future introductions where relevant.

Our intention is to remain accessible and responsive as client requirements evolve.

Ongoing engagement does not constitute continuous portfolio monitoring, discretionary management, personalised investment advice or an obligation to intervene in investment decisions.

Responsibility for managing the underlying investment, administering contractual obligations and issuing formal investment reports remains with the relevant provider.

13. Conflicts of Interest and Remuneration

ASP recognises the importance of transparency when facilitating relationships between investors and investment providers.

ASP may receive introduction fees, referral commissions or other remuneration from third-party providers, subject to applicable legal and regulatory requirements.

Where such arrangements exist, relevant conflicts of interest will be identified, assessed and managed in accordance with applicable obligations.

Material information concerning remuneration or conflicts will be disclosed where required by law.

ASP aims to maintain professional integrity and clear communication throughout its relationships with investors and providers.

No provision of this Policy should be interpreted as guaranteeing that every potential conflict can be eliminated.

14. Confidentiality and Data Protection

ASP treats personal, financial and commercially sensitive information with appropriate discretion.

Information obtained through enquiries, qualification forms and consultations will be processed for legitimate business purposes and in accordance with applicable data protection legislation.

Information may be shared with relevant investment providers where necessary, lawful and consistent with the purposes explained to the individual.

ASP will apply appropriate technical and organisational measures to protect personal information.

Further details concerning the collection, processing, sharing and retention of personal data are available in our Privacy Policy.

15. Regulatory Considerations

ASP's activities are subject to the legal and regulatory requirements applicable to its role and the investment opportunities concerned.

Certain investment activities and financial promotions are regulated under the Financial Services and Markets Act 2000 and associated legislation.

ASP will not knowingly communicate restricted financial promotions to ineligible recipients or undertake activities requiring regulatory authorisation without an applicable legal basis.

Investor classification, access restrictions and provider requirements may differ between investment categories.

Nothing in this Policy represents that ASP is authorised by the Financial Conduct Authority or permitted to undertake any particular regulated activity unless such status and permissions have been separately verified.

16. No Guarantee of Access or Investment Performance

ASP does not guarantee:

• Acceptance of any prospective investor.

• Availability of any investment opportunity.

• Approval by an investment provider.

• Achievement of projected or anticipated returns.

• Preservation or recovery of invested capital.

• Availability of liquidity or an exit within a particular timeframe.

• The future performance or solvency of any investment provider.

Investment opportunities remain subject to the relevant provider's terms, applicable eligibility requirements and prevailing market conditions.

17. Changes to This Policy

ASP may amend this Policy periodically to reflect changes in its activities, operating procedures, investment categories or applicable legal and regulatory requirements.

Updated versions will be published on our Website with a revised effective date.

Where relevant, material changes affecting an existing contractual relationship will be addressed in accordance with the applicable agreement and legal requirements.

18. Contact Information

For enquiries regarding this Policy, investor qualification or our introduction process, please contact:

ASP Private Capital
Trading name of ASP Consulting Partners Ltd

Company Number: 09641362
Address: 86–90 Paul Street, London, EC2A 4NE, United Kingdom
Email: info@aspinvest.co.uk
Website: https://www.aspinvest.co.uk

Important Investment Notice

ASP Private Capital acts as a private-capital introducer and liaison. We do not provide personalised investment advice or manage client investment portfolios. All opportunities are subject to eligibility, availability and provider approval. Investments carry risk, including the potential loss of capital. Prospective investors should undertake independent due diligence and obtain professional advice where appropriate.