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SUITABILITY ASSESSMENT (INDIVIDUAL) Section 1: Profile Date: ___Branch: ___Name as in NRIC / Passport NRIC / Passport No.Section 2: Suitability Assessment Note: 1. All investors should complete the
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How to fill out individual investor suitability assessment

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How to fill out individual investor suitability assessment

01
Begin by reviewing the individual investor suitability assessment form provided by the investment firm.
02
Carefully read and understand the questions on the form, which may include inquiries about investment experience, financial goals, risk tolerance, and investment knowledge.
03
Provide accurate and honest responses to each question based on your personal financial situation and investment objectives.
04
If necessary, seek guidance from a financial advisor or investment professional when filling out the assessment form.
05
Submit the completed form to the investment firm for review and analysis to determine the suitability of potential investment opportunities.

Who needs individual investor suitability assessment?

01
Individuals who are considering making investments through an investment firm or financial advisor may need to undergo an individual investor suitability assessment.
02
This assessment helps determine whether the individual's risk tolerance, financial goals, and investment knowledge align with the recommended investment products and strategies.
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Individual investor suitability assessment is a process used to evaluate an individual investor's financial situation, investment goals, risk tolerance, and overall suitability for specific investment products.
Investment firms and financial advisors are required to file individual investor suitability assessments for their clients to ensure that recommended investments align with the clients' needs and circumstances.
To fill out an individual investor suitability assessment, an investor must provide personal information, financial information, investment objectives, investment experience, and risk tolerance through a standardized form provided by the investment firm.
The purpose of individual investor suitability assessment is to ensure that investment recommendations are appropriate for the investor's specific financial situation, helping to protect investors from unsuitable or high-risk investments.
Information to be reported includes the investor's income, net worth, investment experience, risk tolerance, investment objectives, and any other relevant financial factors.
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