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To Be Completed by Self Employed Individual / Income Provider Only

This document collects information about a client's office address, contact details, nature of business, years of employment, annual income range, source of income, existing brokerage accounts, securities trading experience, investment objectives, risk tolerance, and relationship and financial particulars. It asks for the client's office address, phone/fax, job designation, years employed, gross annual income range from all sources, and nature of business if self-employed. It also inquires about existing brokerage accounts, trading experience, investment goals, risk tolerance, and whether the client has any relationship to the brokerage's staff/directors.

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Daniel Wiggins
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© © All Rights Reserved
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Download as PDF, TXT or read online on Scribd
90 views1 page

To Be Completed by Self Employed Individual / Income Provider Only

This document collects information about a client's office address, contact details, nature of business, years of employment, annual income range, source of income, existing brokerage accounts, securities trading experience, investment objectives, risk tolerance, and relationship and financial particulars. It asks for the client's office address, phone/fax, job designation, years employed, gross annual income range from all sources, and nature of business if self-employed. It also inquires about existing brokerage accounts, trading experience, investment goals, risk tolerance, and whether the client has any relationship to the brokerage's staff/directors.

Uploaded by

Daniel Wiggins
Copyright
© © All Rights Reserved
We take content rights seriously. If you suspect this is your content, claim it here.
Available Formats
Download as PDF, TXT or read online on Scribd
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Office Address of Client or Income Provider

POSTCODE
Telephone No. (Office) Fax No

Nature of Business

Designation Year(s) Employment / Business


Gross Annual Income Range (From All Source)
Below ~ RM25,000 RM25,001 ~ RM50,000 RM50,001 ~ RM100,000 RM100,001 ~ RM200,000
RM200,001 ~ RM300,000 RM300,001 ~ RM400,000 RM400,001 ~ RM500,000 Above ~ RM500,000
(TO BE COMPLETED BY SELF EMPLOYED INDIVIDUAL / INCOME PROVIDER ONLY)
Date Incorporated Authorised Capital Paid-Up Capital
- - R M R M

Annual Turnover
R M

Source of Income Employment Business Investment Inheritance

Others (please specify) ______________________________________________________________


YOUR EXISTING ACCOUNT WITH OTHER BROKER
Stockbroking Firm Account Code Account Type Credit Limit (RM)

3 EXPERIENCE AND INVESTMENT OBJECTIVES

Securities Trading Experience None < 1 year 1-5 years > 5 years

Investment Objectives Investment Speculation Mixed

Risk Tolerance Aggressive Moderate Conservative


4 RELATIONSHIP AND FINANCIAL PARTICULARS
#
Are you related to any staff or Director or Dealer’s Yes, name and relationship _______________________________________
Representatives of UOB Kay Hian Securities (M) Sdn Bhd?
No
Are you a Director or an employee or Dealer’s Representatives Yes, name and relationship _______________________________________
of any stockbroking company in Malaysia?
No
Have you ever opened an account with UOB Kay Hian Yes __________________________________________________________
Securities (M) Sdn Bhd? please state account number and reason for closing of account
No
Do you have existing Securities and/or Derivatives Trading Yes, Account No _______________________________________________
Account with UOB Kay Hian Securities (M) Sdn Bhd?
No
Are you trading for yourself as the Beneficial Owner or as an Beneficial Owner Authorised Nominee Exempt Authorised
Authorised Nominee? Nominee

Are you a guarantor for any Trading Account held in UOB Kay Yes, Account No _______________________________________________
Hian Securities (M) Sdn Bhd?
No
#
Details of related persons with Trading Accounts maintained i) Name:
with UOB Kay Hian Securities (M) Sdn Bhd ii) Relationship: None
iii) Account No:

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