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IFID II Client categorisationdMiFID II planning and implementation is a top priority for asset managers affected by European regulations and brings with it both challenges and opportunities. Investment

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How to fill out client categorisation

01

Understand the purpose of client categorisation and why it is important.

02

Gather all the necessary information about the client, such as their personal details, financial history, and investment objectives.

03

Use the provided client categorisation form or document to record the client's information.

04

Ensure that you accurately document each point in the categorisation process, including the client's risk tolerance and experience.

05

Review and verify the completed categorisation form for accuracy and completeness.

06

Update the client's categorisation status in your system or database.

07

Inform the client about their categorisation status and any implications it may have on their account.

08

Keep the categorisation form and related documents in a secure and easily accessible location for future reference or audit purposes.

09

Regularly review and update the client's categorisation status as needed, based on any changes in their circumstances or regulatory requirements.

Who needs client categorisation?

01

Financial institutions, such as banks, brokers, and investment firms, need client categorisation to comply with regulatory requirements.

02

Investment advisors and portfolio managers need client categorisation to understand their clients' risk profiles and provide suitable investment recommendations.

03

Clients themselves benefit from client categorisation as it helps ensure that their investments align with their financial goals and risk tolerance.

04

Regulatory bodies and authorities use client categorisation to monitor and enforce compliance within the financial industry.

05

Auditors and compliance officers may use client categorisation to assess the effectiveness of a financial institution's internal controls and risk management processes.

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What is client categorisation?

Client categorisation is the process of classifying clients based on certain criteria, such as risk profile or investment knowledge.

Who is required to file client categorisation?

Financial institutions, such as banks, investment firms, and brokerages, are required to file client categorisation for their clients.

How to fill out client categorisation?

Client categorisation can be filled out by assessing the client's risk profile, investment objectives, financial situation, and knowledge of investment products.

What is the purpose of client categorisation?

The purpose of client categorisation is to ensure that clients are treated appropriately based on their risk tolerance and investment needs.

What information must be reported on client categorisation?

Client categorisation typically includes information about the client's risk profile, investment objectives, financial situation, and knowledge of investment products.

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