WorksheetsSA Form
Total questions: 10
Worksheet time: 6mins
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.
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
