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12 18 18034 CMB International Securities Ltd Rm. 18034, 18×F, Bank of America Tower, 12 Harcourt Road, Hong Kong Tel.: (852× 37618888 / Fax: (852× 37618788 Investment Product Risk Declaration (To

How to fill out investment product risk declaration

How to fill out investment product risk declaration:

1. Obtain the risk declaration form: First, you need to obtain the investment product risk declaration form. This form is usually provided by the financial institution or investment service provider that offers the investment product. You can usually find it on their website or request a copy from their office.
2. Understand the purpose of the form: Before filling out the risk declaration, it is important to understand why it is required. The purpose of the form is to assess your risk tolerance and investment knowledge. It helps the financial institution or investment service provider to determine whether the investment product is suitable for you based on your risk profile.
3. Provide personal information: The risk declaration form will typically require you to provide basic personal information such as your name, contact details, and sometimes your social security or identification number. Ensure that you fill in this information accurately.
4. Assess your risk tolerance: The form will include several questions related to your risk tolerance. These questions will typically ask about your investment objectives, time horizon, and comfort level with potential financial losses. Answer these questions honestly and based on your own financial situation and preferences.
5. Declare your investment knowledge and experience: Another section of the form will assess your investment knowledge and experience. This includes questions about your understanding of different asset classes, investment strategies, and risk management techniques. If you are unsure about any aspect, it is important to be honest and indicate that you have limited knowledge or experience.
6. Seek professional advice if needed: If you are uncertain about any question or if you need further clarification, do not hesitate to seek professional advice. Contact the financial institution or investment service provider and ask for assistance in filling out the risk declaration form. It is better to seek clarification rather than making mistakes or misrepresenting your risk profile.

Who needs investment product risk declaration?

1. Individuals considering investing in certain financial products: Investment product risk declarations are typically required for individuals who are considering investing in certain financial products. These may include stocks, bonds, mutual funds, or other investment vehicles. The risk declaration helps the financial institution or investment service provider to assess whether the investment product is suitable for the individual based on their risk profile.
2. Investors with varying risk preferences: The risk declaration is essential for investors with varying risk preferences. By assessing the individual's risk tolerance and investment knowledge, the financial institution can determine whether the investment product aligns with the investor's preferences and objectives. This ensures that the investor is aware of the potential risks associated with the investment and can make an informed decision.
3. Financial institutions and investment service providers: Financial institutions and investment service providers also require investment product risk declarations to comply with regulatory requirements. These institutions have an obligation to ensure that they provide suitable investment products to their clients. The risk declaration forms part of the due diligence process in assessing the client's suitability for the investment product.

In summary, the investment product risk declaration is necessary to assess an individual's risk profile and investment knowledge. It helps both the investor and the financial institution or investment service provider to ensure that the investment product aligns with the investor's preferences and objectives.

For pdfFiller’s FAQs

What is investment product risk declaration?

Investment product risk declaration is a document that discloses the risks associated with a particular investment product.

Who is required to file investment product risk declaration?

Financial institutions and investment product issuers are required to file investment product risk declaration.

How to fill out investment product risk declaration?

Investment product risk declaration can be filled out by providing detailed information about the risks associated with the investment product, including market risks, credit risks, and liquidity risks.

What is the purpose of investment product risk declaration?

The purpose of investment product risk declaration is to inform investors about the risks associated with a particular investment product so they can make informed decisions.

What information must be reported on investment product risk declaration?

Information such as the nature of risks, risk management procedures, and historical performance data must be reported on investment product risk declaration.

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