Appropriateness Assessment

Guidance and download

What is the Appropriateness Assessment Warrant Risk warning?
Special risks apply to dealing in warrants and other complex instruments, of which investors should be aware. These risks are documented in a formal risk warning. To satisfy the FSA regulations, investors are required to provide information regarding their knowledge and experience in these instruments by answering the questions in the Appropriateness Assessment. This is for your protection and to enable an assessment as to whether the product is appropriate for you to be made. It is important that you have read, understood and signed the contents of this warning. Once we have received your completed Assessment we will tell you whether these instruments are deemed appropriate for you. If you choose to ignore this and continue with the order, this will be entirely at your own risk and your account will be authorised to allow dealing in warrants. Please see the Appropriateness Assessment and our Terms and Conditions for more information. You can only hold warrants in a Nominee account, they are not permitted in an ISA under HMRC rules.

What do I need to do with the Assessment warning?
Read the document carefully, ensuring that you understand it thoroughly, and answer all the questions and then sign the declaration at the end. You can also complete the Assessment online when you place an instruction to deal in a warrant or other complex instrument. confirm this to us by one of the following methods:

Download a PDF version of the warning (39KB)

To read the PDF version of the Assessment warning you'll need the Acrobat reader. You can download a copy from the Adobe website if you haven't got it already. Or call Customer Services on 0845 60 60 560 if you would like a paper copy

What should I do with the Assessment warning?
Once you have read and signed the Assessment warning, please sign to confirm your understanding and send it to the following address:

Lloyds TSB Share Dealing
PO Box 4605
Aspect House
Spencer Road
Worthing
BN99 6QY