EIS3 Certificates

This article will address how to generate EIS3 certificates on Capdesk

Creating EIS3 certificates can be the longest and most arduous step in getting the EIS tax relief for your investors, as you normally have to fill out and sign every individual investor's certificate and mail it to them. With Capdesk, you can populate and share EIS3 certificates with your investors digitally instead.

To begin populating EIS3 certificates you'll need to first complete the following steps:

1. Filing your EIS Advance Assurance on Capdesk

While you can't file documents to HMRC and companies house though Capdesk, we record the submission and review of files, which leads on to the generating of EIS certificates on Capdesk.


First, go to the HMRC filings page found in the left-hand menu, and select 'EIS Advance Assurance' from the export menu, as seen below:


From here, you'll be able to upload your EIS AA by selecting "Create EIS AA Filing".


Once you've uploaded your AA, you can mark it as filed by selecting the action button to the right-hand side of the filing, as seen below:



Assign a date to your filing and mark it as submitted. 

Once HMRC has returned feedback on your AA, you have the option to mark it as approved or rejected, accordingly:



Clicking the approved option will open this window so that you can enter the date of approval and upload the approval documentation:



This will log your document as approved:



Now you can upload your EIS Compliance Statement!

2. Uploading Your EIS1


To begin, choose the 'EIS Compliance Statement' option from the drop-down menu:


This will open the following window:



You can upload the Compliance Statement and select which Advanced Assurance the Compliance Statement is related to. You then have the option to select all EIS share issuances that have not been filed, or to select a range of non-filed EIS share issuances by selecting the dates between which the shares were issued:




After recording the EIS1, you'll find it generated under your 'HMRC Filings' tab. You can then mark it as filed using the action button on the right-hand side:




This will open the following window:



Once you've heard back from HMRC about your submission, you'll have the option to mark your EIS1 as approved or rejected:



Clicking 'mark as approved' will bring you to this window:


Simply enter the date of approval and unique investment reference, and upload the EIS2 you received from HMRC.

You can now generate your EIS3 Certificates on Capdesk!

3. Generating EIS 3 certificates online

Simply click the button to the right of the EIS2 filing you had previously filed on Capdesk as seen below:



Then select 'Sign EIS3'. This will prompt the window below:




Select 'Okay' and Capdesk will begin generating the EIS3 certificates automatically:



From here, you can go to the 'Tasks' section of your Capdesk account and sign the EIS claim for your investors' tax relief:

Once you’re ready to sign as a company representative, you’ll be directed to sign the form electronically:


Once signed, your EIS3 will be published under the relevant transaction and your investors will receive an email telling them that the signed EIS3 is now ready for them to download from Capdesk. The signed EIS3 will remain available on Capdesk both for your investor and your company to access at any time under the share issuance transaction it is linked to!

If you are interested in EIS you may find our EIS blog post interesting!

Please check out our support page on other filings that are possible to create through Capdesk!