Aveneu Park, Starling, Australia

Customer listed on SGX ? ? Company Warrants

Customer Investment Profile Form

 

 

Personal Information

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Title (please tick ?)

? Mr                ? Ms       

Name

 

Date of Birth

 

Marital Status

 

Employment Status

? Employed     ? Unemployed

Yearly Salary and Bonus

 

Name of Employer

 

Position / Designation

 

 

 

Financial Information (Please tick ?
where applicable)

 

2.a. What percentage of your income do
you set aside for savings per year: ___________%

 

2.b. Do you depend on the assets / cash
that you will be using for investments or trading with or through us to meet
any current or anticipated payment requirements, including any loans, mortgages
or borrowings?   ? Yes   ? No

 

2.c. Is your primary concern to
protect your capital and you cannot accept any investment risk or any
percentage of capital loss?   ? Yes   ? No

 

2.d. Do you require access to the
assets / cash that you will be using for investments or trading with or through
us in the near future such as less than a month?   ? Yes  
? No

 

2.f. Please provide information on the
following:

 

Estimated Value

List of assets (fully paid for) with
value of S$100,000 or  more per asset:

________________________________________________________________

________________________________________________________________

________________________________________________________________

________________________________________________________________

________________________________________________________________

 
_______________
_______________
_______________
_______________
_______________

List of liabilities:

________________________________________________________________

________________________________________________________________

________________________________________________________________

________________________________________________________________

________________________________________________________________

 
_______________
_______________
_______________
_______________
_______________

List of Financial Commitments:
• Housing and Car  __________________________________________________
• Allowance for family and family
members ______________________________
• Children’s Education
_______________________________________________
• Insurance Policies
_________________________________________________
• Others:________________________________________________________
_

________________________________________________________________

________________________________________________________________     •
________________________________________________________________

 
_______________
_______________
_______________
_______________
_______________
_______________
_______________
_______________

Source and amount of regular income
besides salary and  bonus from
employment

________________________________________________________________

________________________________________________________________

________________________________________________________________

________________________________________________________________

________________________________________________________________

 
 
_______________
_______________
_______________
_______________
_______________

Amount of Monthly Cash Flow:
Inflow (S$): 

________________________________________________________________     Outflow
(S$): 
• ________________________________________________________________

 
 
_______________
 
_______________

 

 

Investment Experience (Please tick ?
where applicable)

 

3.a. Have you ever invested in the
following?

 

Years of Experience

No. of trades in last 3 years

No Experience

? Equities listed on SGX  

 

 

?

? Fully-paid depository receipts
listed on SGX representing shares

 

 

?

? Subscription rights pursuant to
rights issues listed on SGX

 

 

?

? Company Warrants listed on SGX

 

 

?

? Unit in Business Trusts

 

 

?

? Unit in Real Estate Investment
Trusts

 

 

?

? Fixed Income (e.g. bonds,
government securities, debentures, other than asset backed securities &
structured notes)

 

 

?

? Foreign Exchange Trading (other
than leveraged FX trading)

 

 

?

? Equities listed on foreign
exchanges, other than SGX

 

 

?

? Unlisted Equities

 

 

?

? Contract for Difference

 

 

?

? Equity Derivatives, Equity-linked
Notes

 

 

?

? Structured Warrants

 

 

?

? Structured Deposits / Structured
Notes

 

 

?

? Futures, options, commodities, etc…

 

 

?

? Investment-linked Life Insurance
Policies

 

 

?

? Borrowed money or used margin for
the purpose of or to take advantage of an investment opportunity

 

 

?

? Stock Borrowing

 

 

?

? Leveraged Foreign Exchange Trading

 

 

?

? Non-Deliverable Forwards (“NDF”)

 

 

?

? Others – Please specify:

 

 

?

 

 

3.b. Investment Horizon:

How long are you willing to keep your
funds invested through us to achieve your objectives? (Please tick one only)

? Less than 1 month

? More than 1 month but less than 1
year

? 1 to 3 years

? More than 3 years but less than 5
years

? Over 5 years

 

3.c. Which of the following would best
describe your settlement history? (Please tick one only)

Securities

? I always pick up my trades as I am a
long-term investor.

? I seldom pick up any trade as my
trades are mainly contra trades.

? I will pick up my trades unless
opportunity arises for me to make a quick contra profit.

Futures

? I always make sure my account has
sufficient equity balance to meet margin requirements before I place orders.

? I always top up the equity balance
to meet margin calls within the time period as advised by brokers.

? I seldom meet margin calls and often
have to liquidate the open positions.

 

3.d. What does your current investment
portfolio comprise of, including life policies? (Please fill in the value)

Cash / time deposits / savings and
low-risk debt securities:   S$
_____________________________

Low to moderate risk investments (such
as blue chip stocks, Exchange-Traded Funds and principal protected
products):  S$
_____________________________

Speculative or high-risk investments
(e.g. Non-blue chip stocks, unlisted securities, high-risk funds, futures,
options, leveraged FX.): S$ _____________________________

Life policies, including
investment-linked Life Insurance policies, where the total yearly premium is
about S$ _____________________________

 

3.e. Bearing in mind the answers you
provided above in relation to your investor status, financial information,
investment experience, and risk factors such as (a) yearly inflation, (b)
investment losses or returns, (c) emergency cash you need to set aside, which
of the following best describes your investment objective for investing through
us? (Please tick one only)

 

? Conservative: I hope to
achieve returns of up to 2% above bank deposit rates with lower than average
risk and fluctuation in value.  I prefer
long term and secure income stream.

 

? Balanced:  I hope to achieve returns of 3 to 20% above
bank deposit rates and am willing to accept occasional periods of high
volatility. I am fully aware of and accept that investment returns may vary significantly
from year to year and that chances are high to incur losses.  I may also engage occasionally in speculative
trading from time to time.

 

? Aggressive:  I hope to achieve returns of more than 20%
above bank deposit rates over the short term (under 12 months) with a tolerance
for a correspondingly and significantly higher degree of volatility and risk of
loss.  I appreciate that there is a high
chance of capital loss or can incur losses more than the capital investment in
individual transactions and am willing to accept substantial risks.  I am also keen on contra transactions and
have an appetite for investing in speculative shares.

x

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