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.
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.
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，
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.
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.
Should there are any inconsistencies between the English version and the Chinese version of this Assessment Form, the English version shall prevail.