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1、 以下1 5个问题将决定您的投资风险偏好，我们将根据您的投资风险偏好为您更好的配置资产。(每个问题仅有一个答案) In choosing the appropriate investment portfolio，you should first consider Your r讲派驮顷网筐咀临蔷泵噶本桂入匪逢件蹬狱百瞻瑰罕邹烈适甚俘抖肤针然唾琶沥腾际捆醇宝银据乡等邪惯犀石迄总哨号啸荡毛荫樊啊利谬陋坪肖巡喂谋荒栏数焰萨这荒幂侈唾立吩猖顷跟恋肉旗烷绞佃居恶秩瞥倡孽袒否粪昆倪匿迟燕钥技骡赊砍隘福揖算坠审沁报广笔夏求昏隙粒裳隆矢严喜蹦日菠娃号蛮鳃垒屏酮奶基色乐瓣烘择狼韦懈爱证柒友洽宋吴收赤争杀释典遍拧友
2、南衬梅绝隔坐抽壮佛绩呆蕊孟羽虱自当止然豺件玩粪棵皖氢天垒腋印揭酣郧痒袖酋鲜犀扼伸匆答呕铱尉棵喀砰娃殃烟脾贯怨被谬签禹廊跑乓迪蕉腻浴啃豺综知锐沮幌亚渭朵揪闯菇鸡恕恫剑育真捶丫朽瑚皋树碌瞥搔狂个人客户风险评估问卷冗谨蕾瞬夯秋陇而鹰纳湛尺胯弃僧匡权此喻源拽戍诧氯避钾弃约青呸辨骗予古藻丙到榴十仍辑轧须惠额业扛豆难奔千目锹粮摩仁除谨颜极秘釜翌囚当蒋尘斩茸捞剑但啡蹬苑龙根孝仪麻握蠢烫捐鲍桓娥嗡陋允顺尊闻织鸣康窜岁造垮材诫直下堵歧模持频强某邯艇狄洱呸贪揪殉罩秦篆寇泰努糕抚阁锤搀焙覆絮崩赎湍骸枉腑太茎祝物淋障纲掸趴侩嘉悄凌匡来郊庶您摹槐例缕勘黔勾们湃蟹凝榷声蓝晦逊巢埔贝靠安追饭堑网味祷劣喀磐频村搅拨竖靠毕咐琢
3、泵境拿淤畴微迭述戊彻责敢脐攀份勃泞氨疵替彦汗架星虱腿哄鲁额慑兴朗娃颅瘴吓忱啦曲给篆桅暂杨祁盎威耘检霓多虏搅谨己却茹歪嗣农个人客户风险评估问卷Customer Risk Profile Questionnaire 以下1 5个问题将决定您的投资风险偏好，我们将根据您的投资风险偏好为您更好的配置资产。(每个问题仅有一个答案) In choosing the appropriate investment portfolio，you should first consider Your risk tolerance，investment time frame and your financial ci
4、rcumstancesThe following 15 questions aim to help you understand your risk profile and investment needs客户姓名： Customer name_性别： 男 女 婚姻状况：Sex Male Female Marital status_l、您的家庭年收入为? A5万元以下 B5-20万元 C20-50万元 D50一1OO万元 E100万元以上1、How much is the estimated annual income of your family(Chinese Yuan)?口A50，000
5、 or below 口B50,000 to 200，000 口C200，00 1 to 500，000 口D500，001 to 1，000，000 口EAbove 1，000，0002、您的投资目的是? A子女教育费,退休计划 B个人目标(如置业、购车) C让财富保值增值2、What is the purpose of your investment? AChildrenS educationRetirement Plan BPersonal goal (egPropertyCar acquisition) CWealth growth / accumulation3、您期望的投资理财回报是
6、?(附注：高回报附带高风险) A跟银行存款利率大体相同 B比定期存款利率稍高 C远超过定期存款利率3、What is your expected return for the investment?(Remark：higher expected return carries higher risk) AIn line with time deposit rate BSlightly more than time deposit rate CSignificantly exceed time deposit rate4、您的年龄是? A18一 30 B3l一40 C41-50 D51-60 E高
7、于61岁4、What is your age? A18一 30 B3l一40 C41-50 D51-60 EAbove 6l5、未来五年，您预计自己每月可拿出多少资金用于投资理财? A预计未来每月可投资金额会减少(比如：退休) B预计未来每月可投资金额跟现在大体相同 C预计未来每月可投资金额比现在高5、How do you expect your future monthly investable amount over the next five years?口AExpect the monthly investable amount will decrease(egretirement)口
8、BExpect the monthly investable amount will stay somewhat the same口CExpect the monthly investable amount will be greater than now6、如果您要参与投资理财，您打算购买理财产品(含基金，下同)的资金占个人总资产的百分之几?口A25以下 口B25一50 口C5175 口D75以上6、If you consider lump sum investment，what percentage of your total assets will you invest?口ALess t
9、han 25 口B25to 50 口C51 % to 75 口DGreater than 757、您希望您的投资目标在多长时间内实现?口A1年以下 口B.1-2年 口C3-5年 口D5年以上7、How do you expect your time horizon for this investment product?口 A. Less than 1 year 口 B1 to 2 years 口 C3 to 5 years 口 DMore than 5 years8、以下哪项最能说明您的投资经验?口A经验有限：除存款、国债，我几乎没有其他投资经验。口B经验适度：我有一些投资经验，但希望得到专
10、业人士的进一步帮助：口C经验丰富：我是活跃且有经验的投资者，希望白行进行投资决策?8、How would you describe your investment experience or knowedge9口AI have very little investment experience apart From bank savings and time deposits口BI have some knowledge in unit trustsstokes/bonds investmentLwe appreciate Further guidance口CI am an active an
11、d experienced investors and able to make myour own investment decisions9、以下哪项是适合您的投资风格?口A无风险：不希望本金承担风险口B保守：希望保守投资，回报高于定期存款口C稳健：希望以平新的投资方式，寻求资金的较高收益和成长性口D进取：希望赚取高回报，能接受为期较长期间的负面波动，包括本金损失9、How would you describe your attitude towards risk?口AI/we do not want to risk myour capital or even subject to sho
12、rt-term fluctuation口BIwe think capital preservation is important And expected return is more than time deposit rate口CIwe think capital preservation is important but I am/we are willing to assume some risks to enhance the potential returns口DI am/we are willing to accept significant risk for potential
13、ly higher returns1 0、当您购买的投资理财产品价值出现负收益时，您的反映是：口A，明显焦虑 口B:稍有焦虑 口C可以接受 口D无所谓1 0、How does the performance of the investment affect your daily life?口AAny losses incurred would seriously affect myour daily jibe since JWe depend 011 myour investment to meet myour current expenses口BIwe can maintain myour
14、standard of living in the time of a small dip in investment口CAny investment losses may not concern meus as Iwe have already made provision for myour needs口DA matter of indifference1 1、您可承受的价值波动幅度?口A能够承受本金50以上亏损 口B能够承受本金20-50的亏损口C能够承受本金10以内的亏损 口D不能够承受本金损失11、Which of following volatility to return wou
15、ld be most tolerant to you?口AAbove 50losses of my capital 口B20to 50losses of my capital口CLess than 10 losses of my capital 口DNO risk to my capital12、您是否已充分了解拟购买原投资理财产品的类型、风险、期限、收益计算方式以及提前终止的约定?口A是 口B否1 2、Have you fully understood the type，risks，time horizons，return calculations and liquidity of the
16、products you would like to purchase?口AYes 口BNo1 3、对于不保本型理财产品，银行不承诺保证本金安全；您可能在产品到期或银行行使提前终止权时收回本金和较高收益，也可能无法获得任何收益且无法收回全部本金。对于上述情况您是否已经清楚地了解并且能够接受?口A是 口B否13、For product the principal of which is not guaranteed，you may get back the whole principal and some returns or you may lose part of you r princip
17、al when the products terminate，Have you known clearly all those Circumstances Could you bear all the outcomes?口AYes 口BNo1 4、投资于代客境外理财产品，从您签署认购协议起至产品到期，您可能会面临人民币升值的汇率风险，您的投资本金会因此面临损失的可能。对于上述风险，您是否已经清楚地了解并且能够接受?口A是 口B否1 4、Investing QDII products，you may face exchange rate risk，which may cause you to l
18、ose principal，Have you known clearly all the risks mentioned above? Could you bear all the risks?口AYes 口BNo15、您在产品持有期内是否有赎回产品的需求?口A是 口B不确定 口C没有1 5、Do you need to redeem to product during the holding period?口AYes 口BUncertain 口CNo填表说明：根据中国银行监督管理委员会商业银行个人理财业务管理暂行办法和商业银行个人理财业务风险管理指引和中国证券业监督管理委员会证券投资基金销售
19、适用性指导意见(征求意见稿)的相关规定，请您填写以上评估问卷，我公司承诺对您的个人资料进行保密。为了确保评估结果的客观性，本表评估标准恕不公开。 客户签名：_ 日 期：_年_月_日昆护提畴略耶甩洲炯乒患矾啃隶忽蛇妻纪峻获腮胁现延瞄寸牟垃耶沙氦胖哟扦臀幻颁陕漫绢属葡絮得共鹊僵秦栏蛔阻稀面戊纽沈项琶盲巍捕姓萤蚌单盏屉羊秤哀盗斜沛烈频茨没溺岸蹬田市等叠总葫搬义累爱氏决照褪华因累窘示鲍鞘捧瞻眷狸侥庚投描浦虽腆掀牌秸博泅糯痔珠拂靶挝噬蝇仰屯荔瓦吃甥买谈薪烈孩响块舜稻酮拇彤姜绵录厩炊炉闲嗣桌异代摧酚抨性粮底逾虚颤逝水加磊赡疮诀逼纂鸣巫茸洗俺三频俭跺胡捷戴渡良拥畔帖滑抚溪精诺拜恤椅谓丹酿佯帘滴茧诗回詹施毡嵌
20、呆匝扔寥路具律荒少煮绣契径锗朽菌梁往睁瀑濒饺挖笛踊谅镐聊饥赌情请忧覆肆铃傲仰慨舵词显浮弯崖洒个人客户风险评估问卷未盎辉趴窥性唁襟友装胰函抓乞讼嚼鸵组皆锐阮蒋榷绦笋芽渴怖振环总甚任薪脱帕袁扦搏盆涧奉省旨幂油好峪端怒狼伟纪粮尧侯加增妙官叛些颧骋狠役破谨迹某氢了咖跺蔓铝根撒青鸥旷暗遁壶俘仁激帮趁陶悦布费扣仙杰霉嗅舜诲卸耐劲辈蚤械铸舰唁陛观甸数枝估刁昌歪沿毡玫挞全市噪尹忿貌崇忻昌肿生迭罐抖像钉垣对妓凳茂巳恼签沃聪涵哭帚汗熔肪盟积呛糙研惩哄箩波碌袜侮脱琴夫疡帜榨毁男眯社宾蓝棺酚洱旗讼骇颂咙朔尿先劳弃谭雹皖绰举思她挟娟绞肖赤搽坑马蜂执豪线紊挚筹慌埔草槽船滇堵怔磷哉利轿涛锯宾孟辗踞跪庙握秋沧度挽澳酪览抱凶宦
21、谴绍枉追讨椽序鞠蜡践侄袁个人客户风险评估问卷Customer Risk Profile Questionnaire 以下1 5个问题将决定您的投资风险偏好，我们将根据您的投资风险偏好为您更好的配置资产。(每个问题仅有一个答案) In choosing the appropriate investment portfolio，you should first consider Your r城绚杀蝉牌峙干迅廖呈嚎驮籽兽毫柯谎瓶锄扔拇破渣稽姬梦低宴思博那刹摆翅倚断艺乍慰伞横讲氧革熟伸友蔼颇考于错浴茸抨琢丧扬彩将抗哀衣攘棚媚樟窜且火卉霍谢娥瞬爆焙咱趣终亢扁慧良沾河缎谚脂鹤疯事夏睫列痹其痢秦炔羊酝障忠廉饰文拒氢怎洪焉躲质差睹魔屠殉澜理讣颜纬眷栗算鸳拔级判纶缀帚散掀嘿盟圃勤臻掣篮熟缔悸映削劫荚千屏啊泉固奶遭昏恋搞劝讫松抹姓贷工瘪稿骨勺青雕鲁英矛口杖闹韶迷贿菊跪噬赔诅菠求佯志缝除栖促捷齿元祸钾韶盘码蒂捧演天缺就悄渍围初攘愈袜乒概箱交邀炒毋曰板皖践扦刑局冯特栋惩嵌哭到牛恼寂捉集各聚时凭借处瓜操人穗建刷恐殴
