This Investor Suitability Assessment Form ("Assessment Form") is designed to understand your/the client’s financial situation, investment experience, investment objectives, risk appetite and risk tolerance level, etc. helping you/the client to identify whether an investment product would be suitable for you/the client. In case of joint account or corporate account where there are
more than one investment decision maker, every account holder/ investment decision maker should be completing one separate Assessment Form.
此客戶投資風險評估表("評估表")旨在瞭解您/客戶的投資目標、風險偏好和風險承受能力水準,
説明您/客戶確定適合您/客戶的投資選擇。如果是聯名帳戶或機構帳戶(包括公司帳戶),投資決策者應填寫此評估表。
當您/客戶有多個決策者時,每個決策者應分别填寫此評估表的副本, 並且以最保守的評估表為准。
The information that you/the client provided will form the basis of our assessment. It is important for you/the client to provide valid, true, accurate, up-to-date and complete information to make reasonable suitability assessment according to your/the client’s financial situation & needs, investment experience, investment objectives & horizon, liquidity risk appetite and risk
tolerance level. Failure in doing so would affect the result of the suitability assessment.
您/客戶所提供的資訊將成為我們評估的基礎。請務必提供有效、真實、準確、最新和完整的資訊,
以便根據您/客戶的財務狀況、投資需求和目標做出合理的產品合適性評估。如果不這樣做,將影響適宜性評估的結果。
If you/the client are/is aged 65 or above or have an education level of Primary 6 or below, or have an investable assets of US$100,000 or below, you/the client are/is strongly advised to visit our office and be accompanied by a family member, a close relative or a friend (each hereinafter called a “Companion/Witness”) to complete this form. If you/the client complete this
Assessment Form on your own/self and return this Assessment Form to us, we will deem that you/the client DO NOT require to be accompanied by any Companion for completing this Assessment Form.
如果您/客戶年滿 65 歲,或具有小學 6 年級或以下的學歷,或擁有10萬美元或以下的可投資資產,
建議您/客戶到本公司的總部,在家庭成員、近親或朋友(統稱為"見證人”/"伴侶”) 的陪同下完成此評估表。
如果您/客戶親自填寫並返回此評估表,我們將視為您/客戶不需要任何見證人/伴侶陪同下進行此評估表。
Please answer the following questions by reference to your/the client's general attitude to wards making investments, and NOT by reference to your/the client's attitude towards investing in any particular investment product.
請參考您/客戶對投資的一般態度回答以下問題,而不是參考您/客戶對投資任何特定投資產品的態度。
When answering questions about your/the client's financial or investment information, such as the amount of investable assets, or transactions of securities, please refer to ALL your/the client's holdings and transactions in GLOBAL as well as those in other banks, securities firms and financial institutions, and not solely those in GLOBAL.
在回答有關您/客戶的金融或投資資訊 (如可投資資產金額或證券交易) 的問題時,請參考您/客戶在GLOBAL的所有持股和交易,以及包括在其他銀行、證券公司和金融機構,而不僅僅只在GLOBAL所持有
If there is any change in circumstances which may affect your/the client’s answers to the questions herein (including but not limited to investment objectives, investment horizon, liquidity needs, financial situation, financial needs, risk appetite, risk tolerance level materially, etc.) , you/the client should contact your/the client’s designated account executive or our
investment service licensed officer to re-conduct assessment herein.
如果情況發生任何變化,可能會影響您/客戶對此處問題的回答(包括但不限於投資目標,投資期限,流動性需求,財務狀況,財務需求,風險偏好,風險承受水平等),您/客戶應聯繫您/客戶指定的客戶經理或我們的投資服務人員,以便在此重新進行評估。
Should there are any inconsistencies between the English version and the Chinese version of this Assessment Form, the English version shall prevail.
如果此評估表的英文版與中文版有任何不一致之處,則以英文版本為準。