Client’s Investment Appropriateness Assessment Questionnaire

Client Name: .

CRN

This form is designated only for nonprofessional and non-counterparties clients.

Please select ONE answer to each of the following questions. (The currency is in AED or equivalent in USD)

This form was made in compliance with article (8) “Appropriateness” of the chairman of the authority’s board of directors’ decision No. (13/Chairman) of 2021 on the regulations’ manual of the financial activities and status regularization mechanisms.

What is your investment experience in shares listed and traded on a regulated exchange?

What regulated financial markets / stock exchanges do you have trading experience in?

Type a question

How often do you trade in securities?

What is the amount of your transactions per year (in AED Currency)?

Current Year

Last Year

Year 1

Year 2

What is your educational level?

What is your major of academic study?

Have you been certified by or obtained license from any accredited financial institution?

Specify Institution

What is your current occupation?

How long have you been in this job?

What is / are your previous occupation / occupations?

	Occupations
1
2
3

I understand that the above-referenced client’s investment appropriateness assessment questionnaire acts as a guide to building an overall understanding of my understanding, knowledge, know-how and experience in the financial products / services provided by Al Sahel Shares Center and to assess whether trading in local shares listed on the licensed local markets (Dubai Financial Market and Abu Dhabi Stock Exchange) is appropriate for me. Considering the data and information provided by me in this form and the supporting documentation.

I also agree to notify Al Sahel Shares Center of any material change in my personal situation and/or investment profile and information provided herein.

Al Sahel Shares Center (L.L.C) provides financial brokerage services to its clients at Dubai Financial Market (DFM) and Abu Dhabi Stock Exchange (ADX) by only receiving and executing clients’ orders giving no investment / financial consultation or advice nor managing investment portfolio at its discretion.

Date

Signature Client

AP Code for Office

Assessment

Appropriatenappropriate

Reasoning (Could be more than one reason)

Has enough relevant knowledge about the subject securities and their risks.Has enough relevant experience.Has not enough relevant knowledge about the subject securities and their risks.Has not enough relevant experience.

Information completeness verification carried out by Customer Relations Dept.

Date

Signature

AM Code

Review and approval carried out by Compliance /AML Dept.:

Date

Signature

KYC endorsement carried out by Operations Dept.:

Date

Signature

Client’s Investment Appropriateness Assessment Questionnaire

Other Years

Office Use Only

Other Reasons