Client Profile

Name *

Email Address *

Risk Capacity & Time Scale

1) When do you plan to draw on your investment? *

a) Within the next 1-3 years?

b) Within the next 3-5 years?

c) In the medium term 5+ years?

d) In the longer term 10+ years

2) Where do you draw most of your income from? *

a) Pension

b) Pension and dividend income

c) Employment

d) Employment and dividend income

3) Thinking about other investments you have how much risk are you looking to take with us *

a) I don’t wish to risk any of my investment

b) I am prepared to take on a small amount of risk

c) I am happy with a moderate degree of risk

d) I am looking to have an enhanced level of risk.

4) In terms of the amount you have invested with us, how important is this money to you? *

a) I am reliant on the investment to supplement my income

b) This investment will help my finances on rare occasions

c) This is “rainy day” for which I have no plans for

d) This money is surplus to my financial needs

Risk Tolerance

5) If your investments were to decline in value by as much as 20% over the next 12 months, what would you do? E.g. a £20k portfolio became worth £16k. *

a) Transfer the investment

b) Transfer some of the investment

c) Do nothing

d) Invest more to take advantage of the lower value

6) When markets turn negative, investments tend to show a loss – i.e. if you were to cash them in, you would receive less than what you had paid for them. How comfortable are you, should that occur? *

a) Very uncomfortable - I might need to cash-in my investment at any time

b) Uncomfortable - I don’t want to lose any money

c) Comfortable- markets can be volatile and it is one of the risks in investing

d) Very comfortable - it’s a risk I am aware of and it doesn’t worry me at all.

Investment Experience

7) How would you best describe your investment experience? *

a) I am not familiar with investment markets

b) I take an interest, but I’m not really comfortable making investment decisions?

c) I am an experienced investor

d) I am a very experienced investor

8) How familiar are you with investment terms *

a) I am not familiar with any investment terminology

b) I have some knowledge of investment terms

c) I have a moderate degree of knowledge

d) I have a great deal of investment knowledge

9) What would you look to do if you had a £100,000 windfall to invest? *

a) Put it in the bank or a term deposit

b) Put most of it in a bank and the rest in the stock market

c) Put most of it in the stock market and the rest in the bank

d) Put all of it in the stock market

10) Most investment portfolios have a mixture of investments ranging from those seen as having high risk but also the potential for high returns through to those which have no or little risk but equally low return. What would your preference be in relation to Stock Market Investments that CSS provide?

Note: this does not represent the exact allocation of your investments with CSS as this will be dependent on discussions with your broker and products that you wish to trade and those that are suitable.

	Lower Risk & Return	Medium Risk & Return	High Risk & Return
A.	100%	0%	0%
B.	70%	30%	0%
C.	0%	70%	30%
D.	0%	0%	100%

What would your preference be in relation to Stock Market Investments that CSS provide? *

A

B

C

D

For each question add your scores and enter them in the box below.

A *

B *

C *

D *

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Client Profile

Risk Capacity & Time Scale

Risk Tolerance

Investment Experience

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