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Risk Profile

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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. Following is the Risk profile assessment in compliance with abovementioned regulation.:

  • Whatever amount I am paying or will pay to Drift Financial Services is only on account of Investment advisory Service.
  • I am confirming that, I will not pay any amount on account of Investment, Profit Sharing, Demat Handling or Opening, Portfolio Management etc.
  • I will trade on the basis of SMS or Executive support and also ensure that whatever trade I am doing is as per SMS provided by Drift Financial. If any trade not matched with Drift SMS than immediately I will inform the same to Drift compliance team.
  • I will follow proper Stop Loss, Target, Buy Above and Sell Below - if not follow than I’m responsible for my trade.
  • I will not share Demat ID password and any banking detail with Drift Financial Employee.
  • I am aware that Investment in Stock, Commodity and Forex market is subject to market risk.
  • I have not taken any loan/advances/credit for doing investment in stock/commodity market and paying any service charges to Drift financial Services.
  • I am sharing all RPM detail correct & accurate.

Your Name :-

DOB :-

Email ID :-

Gender :-

PAN No :-

Aadhar No :-

Contact Number :-


PART A= ASSESSMENT OF ABILITY OF CLIENT

1.Your age is

2.Marital Status

3. Occupation

4.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 /Commodity /Forex investment

11. Which would best describe your awareness about finance?

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

13. Excluding your house, your savings inclusive of employment benefits, add up to:

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

15. How would you describe your overall income status?

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


PART B= ASSESSMENT OF WILLIGNESS OF CLIENT

1. Investment goal

2. Preferred Investment Type

3. You have saved a long while to buy a car. A week before you buy the car, you lose your job. You…

4. After you have made an investment, your feeling on the decision is:

5. You are offered a job by a company with a bright future. Which compensation option would you choose?

6. What is your practice on saving money?

7. You invest Rs 1,00,000 in a share that goes down by 8% the next day. You…

8. What is your approach to making a financial decision?

9. When you suffer a financial loss, what are your feelings?

10. How would you `honestly' describe yourself as a risk-taker?

11. Your company has an attractive Voluntary Retirement Scheme (VRS) open only to 10% of employees on a first-come-first-serve basis You…

12. You have invested in shares that you expect will become 5-baggers in 2-3 years. These share prices drop 30% soon after you buy them. You…

Scores Obtained Based on Questionnaire

Sr. No Assessment Total Score Score Obtained
A Assessment of Ability of Client to take risk 80
B Assessment of Willingness of Client to take risk/td> 60
Total (A)+(B) 140

Risk Assessment Classification

Sr. No Risk Profile Type Score Range
1 Low Risk Appetite 0-40
2 Moderate Risk Appetite 41-90
3 High Risk Appetite 91-140

SUITABILITY ASSESSMENT

Reg. 17 of the IA Regulations provides for provisions relating to Suitability Assessment of recommendations to clients. Reg. 17 (d) of the IA Regulations, mandates the investment adviser to it has reasonable basis to believe that the recommendations, meets the client’s investment objectives, is such that the client is able to bear the associated risk and the client has necessary knowledge and experience to understand the risk involved. Reg. 17 (e) of the IA Regulations, further instructs that the When investment advice is given to a client to purchase of a particular complex financial product, such recommendation or advice is based upon a reasonable assessment that the structure and risk reward profile of financial product is consistent with clients experience, knowledge, investment objectives, risk appetite and capacity for absorbing loss. Following is the Suitability Assessment for Client to identify a suitable asset class or classes for intended investment purpose. Read More

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