Suitability and Appropriateness Questionnaires
Depending on the services that you wish to receive, you may first be required to complete a questionnaire.
If your services include investment advice and portfolio management, you will be required to complete a Suitability Questionnaire. The Group uses this questionnaire to obtain the necessary information about your knowledge and experience in the investment field relevant to the investment service and financial instrument provided to you, your financial situation and investment objectives. This enables the Group to recommend suitable investments. If we provide you with a personal recommendation to buy, hold, or sell an investment, we will provide you with a suitability report explaining why we believe this recommendation is suitable for you, even if this does not result in an investment transaction.
Where you have been classified as a retail client and your investment services relate to complex financial instruments (other than in relation to investment advice and/or portfolio management), you will be required to complete an Appropriateness Questionnaire. Where we consider, on the basis of the information received, that the investment service or Financial Instrument envisaged is not appropriate for you, we shall warn you accordingly.