Risk Analysis Form

Risk Analysis Form

Client Name : Address 2 :
Address 1 : Address 3 :
State : City :
Pin :
Contact Number :
Email :

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

1. What is your age group?

2. What is your Marital Status?

3.What is your Occupation?

4. What is Your Primary Source of Income?

5. Your current annual take-home income is?

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

7.Your current job/career/business?

8.Current Investment Amount?

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

10. Experience with equity investment?

11. Experience with commodity investment?

12. Experience with forex investment?

13. Which would best describe your awareness about finance?

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

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

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

17. How would you describe your overall income status?

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

Part A Score :
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