客户风险取向� �卷（公司）.pdf

01/2023
Guotai Junan Securities (Hong Kong) Limited 國泰君安證券（香港）有限公司
Guotai Junan Futures (Hong Kong) Limited 國泰君安期貨（香港）有限公司
Guotai Junan FX Limited 國泰君安外匯有限公司
Collectively (“GTJA”) 統稱（「國泰君安」）

Important Notice:
The Client Risk Profiling Questionnaire (CRPQ) is mandatory for clients before engaging in investment activities with GTJA. This document outlines the guidelines and requirements for completing the CRPQ.

1. Purpose of CRPQ: The questionnaire aims to assess a client's financial risk tolerance by evaluating their financial status, investment experience, objectives, and risk attitude. It helps ensure that investment products sold are suitable for the client’s profile in compliance with regulatory standards.

2. Eligibility:
- Applicable to corporate clients or entities.
- For trusts not covered under specific conditions, an individual CRPQ is required.

3. Completion Requirement:
- Clients must complete the CRPQ within 24 months prior to engaging in new investment activities unless there are material changes in their financial status, experience, objectives, or risk attitude.
- If a client maintains multiple accounts with GTJA, the results of one completed CRPQ apply across all accounts and supersede previous submissions.

4. Confidentiality: All information provided by clients will be kept confidential.

Section A: Client’s Information
- Name of Client(s): [Client Name]
- Client Code: [Client Code]

Section B: Client Risk Profiling Questions
1. How much of your company's reserves are allocated for investment purposes?

[The document continues with further questions and sections.]