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    To Be Completed by Self Employed Individual / Income Provider Only

    Uploaded by

    Daniel Wiggins
    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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    © All Rights Reserved
    Download as PDF, TXT or read online from Scribd

    To Be Completed by Self Employed Individual / Income Provider Only

    Uploaded by

    Daniel Wiggins
    43 views1 page
    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.

    Original Description:

    Form part3

    Original Title

    Form part3

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    © © All Rights Reserved

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    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.

    Copyright:

    © All Rights Reserved
    Download as PDF, TXT or read online from Scribd
    Download as pdf or txt
    43 views1 page

    To Be Completed by Self Employed Individual / Income Provider Only

    Uploaded by

    Daniel Wiggins
    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.

    Copyright:

    © All Rights Reserved
    Download as PDF, TXT or read online from 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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