Corporate Investment Declaration Form

3
RISK APPETITE AND INVESTOR ACKNOWLEDGEMENT
Please tick one of the following that best describes the Investor’s current investment objectives and acceptable levels of fluctuation in the value of the investment:
Kindly note that the list of products shared below is indicative of the products that are commensurate with the corresponding investors risk profile and that some of the
products listed below are not currently offered by us
Please
Tick
3.A – Investment Risk Appetite
Indicative Investment and Treasury Products
IP 1 : Safety Oriented - limited to investments with no or negligible price
movements, which can be sold at short notice (less than a week in normal
circumstances) or promise to repay what you invest within a year. This
investor rating is compatible with investments or investment strategies that
aim to protect capital and generate interest income in line with money
market rates.
Money Market Funds.
Commercial paper rated A1P1, government bills rated BBB- or higher,
up to 1 yr maturity, local currency government securities up to 1 yr to
domestic investors.
Transactional spot FX, Forward FX identified as hedges matching the
maturity of a loan or deposit.
IP 3 : Moderate - investment strategies with a risk of moderate negative
price movements that can be sold at short notice (less than a week in
normal circumstances) for a price that is certain and close to the recent
market average. This investor rating is compatible with investments or
investment strategies that aim to provide both regular income returns and
capital appreciation.
Fixed rate government and corporate bonds rated A- or higher, over
10yrs to maturity, fixed rate government and corporate bonds rated
BBB- to BBB+, large cap developed market equities.
Mutual funds, ETFs: multi-asset developed balanced growth, multi-asset
emerging market conservative, developed market large ca equity,
developed market convertible bonds, emerging market bonds, >3 yrs,
investment grade bonds, > 10 yrs, non-investment grade bonds,
long/short equity, real estate funds (liquid).
Structured products: principal protected 90% or > protected over 5 yrs,
less than 90% protected; non-principal protected: interest rate-linked,
large cap developed market equity linked (single, basket, or indices).
IP 2: Conservative - investment strategies with a risk of limited negative
price movements that can be sold at short notice (less than a week in
normal circumstances) for a price that is certain and close to the recent
market average. This investor rating is compatible with investments or
investment strategies that aim primarily to provide regular income returns
and may provide some capital appreciation as a secondary consideration.
Commercial paper rated below A1P1, floating rate government and
corporate bonds rated BBB- or higher, fixed rate government and
corporate bonds rated A- or higher, up to 10 yrs to maturity, local
currency government securities over 1 yr to domestic investors.
Multi-asset developed conservative funds, investment grade bonds, <10
yrs, enhanced money market funds, emerging market bonds, <3 yrs.
Structured products – 90% or > principal protected, up to 5 yrs, other
derivatives identified as hedges of specific underlying transactions.
IP 4: Aggressive - investment strategies with a risk of substantial
negative price movements and that you can buy investments that have a
small risk of losing their entire value, may be difficult to sell or have an
uncertain price at any given time, such that they may only be sold at a price
below the recent market average. This investor rating is compatible with
investments or investment strategies that typically aim to provide only
capital appreciation and no or little regular income returns.
Government and corporate bonds rated BB- to BB+, convertible bonds,
all other publicly traded equities.
Mutual funds, ETFs: multi-asset–emerging market balanced/growth,
commodities, developed market small and mid-cap equity, emerging
market equity, other hedge fund-like strategies.
Structured products: non-principal protected commodity-linked, other
equity-linked (single, basket, or indices).
Alternative investments: diversified strategy fund -of-hedge funds.
IP 6: Specialized Investing - Investments or financial contracts that
may have a high risk of losing their entire value or may even lose more
than your initial investment. They may also be very difficult to sell or have
a highly uncertain value at any given time, or it may not be allowable to
sell them over an extended period. This investor rating is compatible with
long term specialist investments or investment strategies that may not be
liquidated before maturity and which aim to provide very aggressive
capital appreciation over time.
Government and corporate bonds rated CCC+ and below, all other
Public traded Equities, Futures & Options.
Alternative investments: private equity: single manager fund, multiple
private equity investments, individual private equity investments;
private real estate: single manager, multiple property investments.
IP 5 : Very aggressive - investments or financial contracts with a risk of
substantial negative price movements, that have a significant risk of losing
their entire value, that may be difficult to sell or have an uncertain value at
any given time, or it may not be allowable to sell them over an extended
period. This investor rating is compatible with specialist investments or
investment strategies that may require an extended period to liquidate and
which seek to provide aggressive capital appreciation over time.
Government and corporate bonds rated B- to B+.
Structured products: non-principal protected equity or other
underlyer ‘worst of’ structures.
Alternative investments: private equity fund- of-funds investing in
multiple sectors and vintage years; private real estate fund-of-funds
investing in multiple properties and vintage years.
All other Public Traded Equities.
For IP6 Client who has opted for Futures & Options
a. Are F&O suitable for Investment Objectives? Yes No
b. Do you wish to enable F&O for your Account? Yes No
c. For F&O through CGM:
i. Do you want to use F&O for speculation? Yes No
ii. Do you want to use F&O for hedging / yield enhancements? Yes No
d. Are you aware of the financial risks of trading in F&O? Yes No
I represent that, for the purpose of my relationship with Citigroup Global Markets India Private Limited (CGM) under the brand Citi Wealth Advisors
(hereinafter referred to as CGM), the aforementioned contents in this form gives an accurate description of my Net Worth, Investment Objectives and Risk
profile. I represent and agree that for the purposes of my relationship with CGM, the representations made in this document are final and CGM is authorized
to ignore any other representations or outcome of analysis in any other document given by me/us to CGM.
I confirm that I have the requisite knowledge and experience in the products mentioned earlier on the form. My knowledge and experience in this/these
product(s) is based on past investment experience/education/professional knowledge and/or external sources or education provided by CGM.
I do hereby agree, declare and confirm that I shall use the services of CGM only for Equity / F&O / Third Party Products transactions ("Investment Transac-
tions") and 100% of my investments made through CGM will be in for Equity/F&O/Third Party Products related instruments. I am aware and understand that
the recommendations/advices, if any provided by CGM are solely restricted to the Investment Transactions only. I am aware and fully understand the risks
associated with Investment Transactions and related investments and I shall take appropriate and independent advice regarding the suitability of such
investments. I understand that services provided by CGM to client are non-discretionary in nature.
CWA/CID/Investment/11/13-V4.0
Page 3/5
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