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Private equity investor risk questionnaire
(Personal Edition Content and Format Guidelines)
[Format example below, the questionnaire shall include, but not limited to, the following]
Investor Name: ____________ fill in the date: _____________
Risk Warning: private equity investment need to take all kinds of risks, possible loss of principal. Meanwhile, private investment funds also consider market risk, credit risk, liquidity risk, operational risk and other types of investment risk. You should pay attention to check their risk identification and risk tolerance in the fund subscription process, the ability to choose their own risk identification and risk tolerance to match the private equity funds.
The following series of questions before you can choose the right private equity fund to help assess your risk tolerance, financial management and investment objectives.
Please sign promises you a private equity fund to purchase products for their own []
Please sign to confirm that you meet the following qualified investors which financial conditions:
Compliance with financial assets of not less than 300 million (financial assets, including bank deposits, stocks, bonds, fund shares, asset management plans, financial products, trust planning, insurance products, equity futures, etc.) []
In line with the last three years the average annual personal income is not less than 50 million []
Questionnaire should cover at least the following aspects:
First, the basic information, including identification, contact details, age (to understand customer needs and investment income of the period), education (to understand the customer's professional background), occupational (professional background to understand the customer) and the like.
Sample questions:
1, [your name] [Contact]
ID Number Certificate Type [] []
2, between the ages of your
A 18-30 years old
B 31-50 years old
C 51-65 years old
D higher than 65 years old
3, your qualifications
A high school or less
B secondary school or college
C Undergraduate
Master D and above
4, your career as a
A no fixed occupation
B professional and technical personnel
C general staff of enterprises and institutions
D employees in the financial sector in general
Second, the financial condition (understand the financial condition of the assets, the last three years the average annual personal income, the proportion of revenue may be used to finance investment and other information).
Sample questions:
1, your annual household disposable income (RMB)?
A 50 million or less
B 50-100 ten thousand yuan
C 100-500 ten thousand yuan
D 500-1000 ten thousand yuan
E 1000 yuan
2, in your annual household disposable income, the ratio can be used for financial investments (excluding savings deposits) is?
A less than 10%
Zhi B 10% 25%
Zhi C 25% 50%
D is greater than 50%
Third, investment knowledge (know your customer master for financial investment knowledge, such as by professional bodies or trade associations relevant financial literacy training and assessment, evaluation by professional investors can be considered customer-maturity investments) and investment experience (Learn customer participation for all types of investment, such as the customer has more than 10 years of investment experience, or excessive investment options, private equity funds high-risk products, and understand the customer's risk appetite).
Sample questions:
1, your investment knowledge can be described as:
A. limited: no basic knowledge of financial products
B. General: financial products and the risks associated with a basic knowledge and understanding
C. wealth: financial products and the risks associated with having a wealth of knowledge and understanding
2, your investment experience can be described as:
A, in addition to bank savings, the basic no other investment experience
B, bought bonds, insurance and other financial products
C, involved in stocks, funds and other products trading
D, involved warrants, futures, options and other products trading
3, you have more experience in juvenile investment funds, stocks, trusts, private equity securities or financial derivatives and other risky investment goods?
A, no experience
B, less than 2 years
C, 2 to 5 years
D, 5 to 10 years
Above E, 10 years
Fourth, investment objectives (understanding of customer needs and investment requirements for growth of investment income)
Sample questions:
1, the investment period is how long you plan to?
A, 1 year or less
B, 1 to 3 years
C, 3 to 5 years
Above D, 5 years
2, the purpose of your investment?
A, asset preservation
B, solid growth in assets
The rapid growth of C, assets
Fifth, the risk appetite (the capacity to understand risk customers, including age, financial situation, investment knowledge, investment experience, willing to accept the investment horizon, investment goals and risk appetite).
Sample questions:
1. Which of the following best describes your investment approach?
A, risk-averse and do not want loss of principal, hoping to obtain stable returns
B, a conservative investment, do not want the loss of principal is willing to take a certain level of earnings volatility
C, to seek higher returns and capital growth, willing to take a limited loss of principal
D, want to earn high returns, willing to take a greater loss of principal
2, assuming that there are two kinds of investment: Investment A is expected to receive 10% of the loss of revenue, may bear very little; B investment is expected to get 30% of revenue, but may assume a larger loss. You will govern how your investment:
A, all investment income in smaller and less risky A
B, while investing in A and B, but most of the funds to invest in small and less risky income A
C, while investing in A and B, but most of the money invested in income larger and larger risks B
D, the total investment in greater gains and greater risk B
3. Do you think you can withstand the maximum investment loss is how much?
A. 10% or less
B. 10% -30%
C. 30% -50%
D. more than 50%
[Private equity investor risk identification capability and affordability into conservative, prudent, balanced, growth, aggressive and other five categories, the corresponding score table developed by its own agency]
Investors risk assessment confirmation :( raising mechanism to fill)
The above problem of 100 points, according to the answer you choose, your overall investment risk tolerance level and your risk appetite overall score: _______ minutes.
Affordability assessment evaluation score sheet according to the investors' risk, your risk tolerance is: xx (rating agencies in accordance with their own way to fill in) for your rating of fund products xx (rating agencies in accordance with their own way to fill).
Disclaimer: I have truthfully fill out the "private equity investor's risk tolerance and the ability to identify the questionnaire (Personal Edition)", and understand their risk tolerance and type suitable for the type of product purchased.
Investor Signature:
date:
Attn Members:
date:
Recruitment agencies (stamp):
date:
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