CGM USE ONLY
Section 2 - Sales and Supervisor Checks
1. Has the customer’s investment risk profile changed upwards by 2 or more risk ranks? Yes No (e.g: The customer was previously IP3 and based on the current evaluation has the
rating of IP5 or IP6)
2. Has the client opted for profile upgrade basis response in Question 1 of the profiling section Yes No
If Yes – Total number of notches upgraded in Question 1 of the profiling section 1 2
Incase any of the above is answered as ”Yes” then the supervisor must review and sign off. Reason ______________________________________________________________________
Verified by RP/BDM/EA Signature and Name Date Supervisor’s Signature
Section 4 - Service Checks
All signatories as per the BR to have signed the form
PB/RP and Supervisor to have signed in Section 1 and Section 2 above where applicable
Signatures of the authorised representatives verified
K&E confirmation by the Client on page 2 matches confirmation by the RP on the same page
In case customer has accepted (1) as the appropriate option used by the RP for imparting K&E in the K&E Section, customer acknowledgement in (1) and RP confirmation in
Section 1(3) available.
Verified by SRM Signature and Name Date
1. In case Client does not have prior experience of investing in F&O, please provide rationale why F&O trading privileges should be provided to the Client.
2. Rationale for mismatch in Business Rules :
3. Other remarks, if any : ______________________________________________________________________________________________________________________________
Verified by: ____________________________________________ __________________________ _____________________________
RP/BDM/EA Name & Signature Date Supervisor’s Signature
Section 3 - Equity and F&O Check
Section 1 - Sales Checks.
1. This is to confirm that I am ultimately responsible for the determination and accuracy of the Investor Rating and attest to the completion of the Client Assessment
questionnaire and the reasonableness of its results.
2. In the event that you have imparted Knowledge on Complex Products (Structured Products, Derivatives) to the concerned Investor, kindly provide a detailed assessment
of the discussion so completed by you with the Investor. ___________________________________________________________________________________________________
3. Please tick below in the event that you have educated the investor on a product category(ies) basis product education/training materials provided by the CGM-
This is to acknowledge that I have provided the General Information document that is updated and approved by the CGM to educate the investor on the product category(ies)
Verified by RP/BDM/EA Signature and Name Date
1. A. First time profiling B. Profile Renewal Please answer the below incase you have selected B :
Your previous Corporate Investment Risk Profile is : _____________________________________________________________________________________________
Based on the information that you have provided above
Your current Corporate Investment Risk Appetite is : ____________________________________________________________________________________________
and your Risk Profile is : ____________________________________________________________________________________________
I/We are fully aware and understand the associated risks arising from my/our investment decision made for and on behalf of the Investor. I/We confirm that I/we have
given you the instruction to proceed with my/our investment made for and on behalf of the Investor. I/We understand that the Investor’s investment risk profile is valid
for a period of 12 months from the date of profiling and is renewable at least once in 12 months.
Your Account with CWA will be classified as a ‘Recommended’ Account’. In the Recommended Account you/your authorized representative will be able to perform two
types of transactions i.e.- Advised and Non- Advised Transactions.
• Advised Transactions- Such transactions result from a specific investment idea described in materials or otherwise shared by CWA.
• Non- Advised Transactions- Such transactions imply that you/your authorized representative may define all the material terms and instruct CWA to execute the
transaction at your request. You/your authorized representative may also choose to materially modify a specific transaction or investment proposition that CWA
proposes, which CWA shall then execute at your/your authorized representative’s express request subject to relevant terms and conditions and on a best effort basis.
• CWA may from time to time recommend that you/your authorized representative desist from executing certain transactions. In the event that you/your authorized
representative elect to proceed nonetheless, CWA may note the transaction appropriately and in all such cases CWA will not perform suitability assessment of such
transactions. You/your authorized representative understand that the same may affect the assessment of your risk rating, as well as investment recommendations
that may be made to you/your authorized representative by CWA from time to time.
Please note that CWA is not obliged to provide periodic Portfolio Reviews.
The form should be signed after all the details are completely filled.
Signature of authorised
signatories (with stamp)
1. 2. 3. 4.