ARRIVE INVESTMENT ADVISOR

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Address 1 : Address 3 :

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RISK PROFILE ASSESSMENT

An Investment Adviser is mandated to assess the risk bearing capacity of its client before giving any advice with respect to securities market. Regulations 16 & 17 of the Securities and Exchange Board of India (Investment Advisers) Regulations 2013 (“IA Regulations”) provides for Risk Profiling and Suitability Assessment for the client. Reg. 16(b) of the IA Regulations provide for assessing the client’s Ability and Willingness to take risk. The risk profiling questionnaire is divided in to two parts: Part A of the questionnaire consist of 18 questions, which will help in determining as to how much risk is the client able to tolerate. Part B of the questionnaire consist of 12 questions, which will help in determining as to how much risk is the client willing to take. Each question have absolute and mutually exclusive responses carrying appropriate weights. The summation of all the weights associated with to selected responses will determine the Risk Score of the client, thereby classifying the client as High Risk Appetite, Moderate Risk Appetite or Low Risk Appetite, based on corresponding scores obtained by the client. Following is the Risk profile assessment in compliance with abovementioned regulation

RISK PROFILING QUESTIONNAIRE

PART A= ASSESSMENT OF ABILITY OF CLIENT

2. What is your Marital Status?

Single Married Widowed

4. What is Your Primary Source of Income?

None Salary Business & Profession

5. Your current annual take-home income is?

Under Rs. 2,00,000.00 Between Rs. 2,00,000.00 and Rs.5,00,000.00 Between Rs. 5,00,000.00 and Rs. 10,00,000.00 Over Rs. 10,00,000.00

6.You are financially responsible for (exclude dependants who can be supported by your spouse's income?

Only yourself One other person in your household besides yourself Between Two and Three other persons besides yourself Between Four and Five other persons besides yourself More than Five other persons besides yourself

7.Your current job/career/business?

Is not dependable Is secure Does not matter because you expect a large inheritance/have enough wealth already Does not matter because you expect to change your career path soon

8.Current Investment Amount?

Under Rs. 2,00,000.00 Between Rs. 2,00,000.00 and Rs.5,00,000.00 Between Rs. 5,00,000.00 and Rs. 10,00,000.00 Over Rs. 10,00,000.00

9.Which of the following statements would best describe your level of knowledge as an investor?

I do not understand investment terminology at all I am not very familiar with investment options and financial planning I understand investment principles and trade shares in the secondary market I know how to identify and invest in mutual funds and secondary market debentures I am a proficient investor who is able to explain concepts such as EVA, beta and hedging

10. Experience with equity investment?

Extensive Experience Moderate Experience Very Less Experience No Experience

11. Experience with commodity investment?

Extensive Experience Moderate Experience Very Less Experience No Experience

12. Experience with forex investment?

Extensive Experience Moderate Experience Very Less Experience No Experience

13. Which would best describe your awareness about finance?

I read a financial newspaper daily and regularly read at least one specialized business magazine I read the finance section of the daily newspaper every day I watch business updates on television daily I often look up the market prices of my shares in the newspaper I never read the finance section of the newspaper

14. In how many years from now will you have saved up for all your future financial commitments and needs?

Less than 3years 3 to 6 years 6 to 10 years More than 10 years

15. Excluding your house, your savings inclusive of employment benefits, add up to?

Nothing Less than six months take-home pay Between 6-15 months take-home pay Between 15-36 months take-home pay More than 36 months take-home pay

16. What is the status of your accommodation? Those who own a house, choose from last two options only?

I stay with my parents/ spouse I live in company accommodation I live in an apartment that I have rented I own a house but am saving to buy a better house I own as good a house that I would ever want to

17. How would you describe your overall income status?

Just about manage to make ends meet no monthly savings My PF and other employment benefits are my only source of savings I put aside at least 10% of my take-home salary every month in savings I save more than 30% of my take-home salary every month My income from my wealth more than adequately provides for my cost of living

18. Are you any of the following, or are directly or indirectly related to any of the following?

Civil Servant Politician Current/Former head of states Bureaucrats (IAS/IRS/IFS/IPS, etc.) Current/Former MP/MLA/MLC Print/Digital Media Any Listed Company/Group of Companies, It is Promoters or Board of Directors None of Above

PART B= ASSESSMENT OF WILLIGNESS OF CLIENT

CLIENT DECLARATION

I hereby declare that the details furnished above are true and correct to the best of my knowledge and belief and I undertake to inform you of any changes therein, immediately. In case any of the above information is found to be false or untrue or misleading or misrepresenting, I am aware that I will be held liable for it. I have read all the terms and conditions and risk discloser of Arrive Investment Advisor and I agree to take the service .

RISK DISCLOSURE

PLEASE READ THE BELOW BEFORE SUBSCRIBE ANY SERVICE WITH US.

Investments in Securities and commodities are subject to market and other risks and there is no assurance or guarantee that the objectives of any Services will be achieved. Traders/Investors in the services are not being offered any guaranteed/assured returns. Past performance[s] of these types of investments does not guarantee any future results. We do not have any refund & cancellation policy. All sales are final. Before subscriptions ensure that our products and services will meet your needs without the need to purchase, there will be absolutely no refund & cancellations. We do not offer refunds on subscriptions that have already been taken. By registering for service on website you have accepted all the terms and conditions. Prior to trading securities and commodities you must be aware of the risks involved. The high degree of leverage associated with these types of investments means that the degree of risk compared to other financial products is higher. Leverage (or margin trading) may work against you resulting in substantial loss. Arrive Investment Advisor accepts no liability for any loss, tax, commission, brokerage you may be required to pay on any profits/loss made during the service tenure with us. Trading on Margin involves a high level of risk and is not suitable for all investors. The high degree of leverage can work against you as well as for you and the speeds which profits and losses can occur, means that clients should monitor positions closely – it is the clients’ sole responsibility to monitor open trades. Before trading, you should carefully consider your investment objectives, level of financial experience, risk appetite and suitability of service offered by Arrive Investment Advisor. If you are at all unsure as to the suitability of the products offered by Arrive Investment Advisor. Please seek other/independent financial adviser. Only surplus funds should be placed at risk and anyone who does not have such funds should not participate in trading securities and commodities.

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Your Risk Appetite :-

Note : Clients with Long term Investment goal as investment objectives are not accepted at Arrive Investment Advisor.

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Risk Analysis Form

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