SA Form

What is the objective of Suitability Assesment?

• Treat Investor Fairly

• To see how much investor can invest

• Act in investor's best interest at all time

• To check how much is the earnings of investor

Why Suitability Assesment is important to UTC?

• Professionalism

• Check background of investor

• Avoid miscommunication

• Proper documentation

Where can you check the SA code?

• UTC Connect

• CAMS

• UTC@Work

Investor should review and accept the e-SA within ___ days after which the e-SA will be auto removed.

• 7

• 10

• 5

• 14

Customer age 30, Degree in Economics, experience in investing, Retirement fund Objective

• Risk Level 3

• Risk Level 2

• Risk Level 4

• Risk Level 5

UTC may view the e-SA applications that have been submitted but pending their investor's acceptance in ___,

• CAMS

• UTC@Work

• PMB Website

• OLE

Upon completion of the SA questionnaire, UTC is required to inform the Unitholder (UH) to login to PMO, click on e-SA and to key-in _______.

• UTC Name

• UTC Code

• UH IC No

• UH Bank Account No

Which investment objective is not correct?

• Lowest Risk : My objective is to preserve the capital.

• Moderate Risk : My objective is to achieve moderate income and/or capital growth.

• High Risk :

  My objctive is to maximise a capital growth.

• Low Risk : My objetive is to achieve high capital growth.

Answer explanation

My objective is to achieve high capital growth - high risk.

Choose the below factors that determines the risk profile of investor.

• Age

• Investment experience

• Marital status

• Education level.

New SA number is required for an existing investor with different UTC.

• True

• False