Risk Analysis Form

Index / Risk Analysis TERMS CONDITIONS
Classification of the Client
Clients are classified only in three categories low risk, medium risk and high risk clients with respective scores 10-15, 16-25, 26 and more and accordingly product is recommended to them.
Name
Mobile
PAN
Date Of Birth
Services
Risk Appetite
Total Score
Investors are categorized on the basis of this questionnaire and weights allotte
Questions Weight Allotted / Answer Score
What is your current age?
1 18 to 30 years old     2 0
31 to 40 years old 1.5
41 to 50 years old 1
51 to 60 years old 0.5
60+ 0
Investment Goal
2 Capital Appreciation 3 0
Regular Income 1
Capital Appreciation and Regular Income 2
Proposed Investment Amount
3 <1 lacs 0.5 0
1-2 lacs 1
2-5 lacs 1.5
> 5 lacs 2
Preferred Investment type
4 Short term Positional 0.5 0
Long term Positional 0
Intraday 1
Gross Annual Income details:-
5 Below 2 lac, 0.5 0
2-5 lac, 1
5-10 lac, 1.5
10-25 lac, 2
>25 lac 2.5
Sources of Income
6 A.Primary Source --
Salary
Business
B.Secondary Source
Royalties
Rental
Dividend
Others Specify
Market Value of portfolio held
7 <1 lacs 0.5 0
1-2 lacs 1
2-5 lacs 1.5
> 5 lacs 2
Investment Experience
8 < 2 years 0.5 0
2-5 years 1
>5 years 2
Experience in Market Products For Selection of Product
9 Commodity 1 0
Stock 0.5
Derivatives Stocks 1
Forex 0.5
All ( EVEN CAN CHOOSE THIS OPTION, IF COMBINED OF STOCK & DERIVATIVES STOCKS OR COMBINED IF ANY WHERE TOTAL SCORES WILL BE EQUAL OR MORE THAN 1.5 ) 1.5
How many dependents do you financially support ?
10 None 2 0
Between 1-3 1
4+ 0
What is the size of your emergency fund ?
11 do not have 0 0
< 1 month income 0
1-3 months income 0.5
3-6 months income 1
> 6 months income 1.5
How long do you wish to stay invested in the market ?
12 0-6 months 0.5 0
6-12 months 1
1-3 years 1.5
>3 years 2
What if due to any happening of an event your investment portfolio falls down,
what would be your reaction?
13 Invest more funds to reduce the loss 2 0
Hold the position as it is 1.5
Sell a portion of your investment 1
Sell all the investments 0.5
How well do you understand investing in the markets?
14 I am a novice and don’t understand the markets at
All		 0.5 0
I have basic understanding of investing 1
I have an amateur interest in investing and have invested earlier on my own and I also understand how the markets fluctuate 1.5
I am an experienced investor and have invested in different markets and understand different market strategies 2
How was your experience with investments in past ?
15 Very Good 2 0
Good 1.5
Moderate 1
Bad 0.5
Very Bad 0
In order to achieve high returns I am willing to choose high risk investments. Direct Questions to ascertain Risk Appetite
16 Strongly agree 2 0
Agree 1.5
Neutral 1
Disagree 0.5
Strongly disagree 0
When market is not performing well do you prefer to buy risky investments and sell less risky investments? Direct Questions to ascertain Risk Appetite
17 Strongly prefer 2 0
Prefer 1.5
Indifferent 1
Do not prefer 0.5
Strongly do not prefer 0
Risk Tolerance Direct Questions to ascertain risk appetite
18 High 2 0
Medium 1
Low 0
What percentage of monthly income is allocated to pay off debt [all EMIs]?
19 None 2 0
Between 0% -20% 1.5
Between 20% - 35% 1
Between 35% - 50% 0.5
> 50% 0
Occupation (please select the appropriate)
20 Private sector service, Public sector -
Government sector, Business
Professional,Agriculturist
Retired,Housewife,Student
Dealer
Others
Are you any of the following, or are directly or indirectly related to any of the following
21 Civil Servant -
Politician
Current or former head of state
Bureaucrat (Tax authorities, Foreign Services, IAS etc)
Current or former MP/MLA/MLC
Connected to Media
Connected to any company/promoter group/ group of companies listed on any stock exchange
*Investment Options offered to various categories of investorsAll the questions which are related to risk profiling have been assigned weight and based on the total score of a client product is recommended using following guideline.
Risk Classification Score
Low 15 & below
Medium 16-25
High 26 and more
PROOF OF INCOME & LIABILITY:
Yes, I will submit 6 months bank. statement and /or Income Tax Return ( Last 3 Years Financial years)as income proof along with loan statement for verification of information for financial liability, which I am providing to Worth Market Research in this process No
DECLARATION
Here by I declare that, I have provided information with transparancy, if any query arrises in near future regarding information provided by me, then I will be responsible only
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Date Of Risk Profile

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