Client Classification Form

Date

Investor (Client) Name

First NameLast Name

CRN

In compliance with requirements 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, Chapter Two: Article (3) Classification of clients, sub articles (4 -6) we are mandated to conduct classification for all clients based on certain criteria, experience, knowledge, financial position and undereating and awareness of the relevant risks associated with services / products provided by Al Sahel Shares Center, which is trading in the regulated Abu Dhabi Stock Exchange (ADX) and Dubai Financial Market (DFM)- clients’ orders execution only, for both pre-existing and new clients under one of the following two (2) different categories: Ordinary or Professional investor as per assessment Al Sahel Conducts based on the below criteria and requirements. The confidentiality and privacy of the information, data, and all supporting documents of the client are maintained and are only viewed by authorized persons in the company and only for the purposes of facilitating the provision of services to the client.
Note: The client may not be classified under more than one category, and with an exception to this, the professional investor or the counterparty may request to be classified as an ordinary investor.

Verifying the knowledge, understanding, knowledge and experience of the client in the markets and financial products subject to investment.
The client's ability to bear the risks associated with investing in these financial products/services.
The suitability of the markets/financial products for the client in light of the above information and data.
Finally, in compliance with and application of the statutory requirements in this regard, which aims primarily to provide protection for customers and increase the level of customer understanding of the financial service The financial activity and the financial product provided to it.

1.The Ordinary Investor ( Client)

2. Professional Investor (Resident):

A natural person who has a joint account with a natural person representing a resident professional investor according to Clause (1) (the main account holder), provided that the following conditions are met: a) The (account participant) must be a member of the (main account holder) family, up to the second degree. b) The account is used to manage the investments of the main account holder and his/her/its subscribers. c) Written confirmation from the person subscribing to the account that investment decisions related to the joint account are made on his/her/its behalf by the main account holder.

(Client Classification)

(Professional (Qualified) Investor (Client)

Investor(Client) Name

Signature

Date

Client Classification Form - Natural Person (Individuals)

Purpose of making this classification:

For Office Use only: To be filled by Al Sahel Shares Centre , CRM Dept

To be filled by the Investor (Client)