SLOCPI Client Suitability Assessment

NAME (LAST, FIRST MIDDLE)

FINANCIAL NEEDS ANALYSIS

Building independe

Money to cover medical expenses (e.g. critical illness,

Money for a comfortable retirement

Money for your life milestones and other

(e.g. traditional participating policy)

Insurance product without any savings or investment element

Insurance product with savings but without invesment element

M

[1]

[2] Less than one (1) year

D

I want my capital secured even if the investments provide low returns.

I prefer investments that provide a predictable fl ow of income, as opposed to funds that widely fl uctuate.

[5]

I seek a regular fl ow of income but will accept some volatility for capital growth. I prefer investments that provide both opportunities to

earn income and to grow over time.

[7]

I seek long term growth with some income. I am comfortable with volatility in order to achieve capital growth.

I seek capital appreciation and fully accept volatility. I prefer high-risk investments with high potential returns.

SCSA.01.19SCSA.01.19*SCSA.01.19*

savings for emergencies and retirement. Which of the following statements best describes your fi nancial situation. (Choose one)

[1]

Lower Risk Tolerance - Lower Return Potential

Moderate BALANCED A score of up toóô points (e.g. Balanced Fund)

μμμ [7Ë] Please consider your regular expenses, your ability to repay outstanding loans, and your to supplement my current income. however, this could change in the next months. and I have suffi cient cash fl ow to meet most of my requirements. and I can meet emergency requirements. Add the points indicated in the brackets (questions VI to XI) corresponding to your choice to get the total score. Your total score will determine your risk profi le and the recommended Funds for you. MODERATEöò A score of up to points (e.g. Bond Fund) A score of up to points

(Choose one) % t ¹¿¿¿½½½¿»ÄÄÄ¾¿Ãμ ̧ ̧»¼ÃË¿(Choose one)

μμμ [7Ë] Please consider your regular expenses, your ability to repay outstanding loans, and your to supplement my current income. however, this could change in the next months. and I have suffi cient cash fl ow to meet most of my requirements. and I can meet emergency requirements. Add the points indicated in the brackets (questions VI to XI) corresponding to your choice to get the total score. Your total score will determine your risk profi le and the recommended Funds for you. MODERATEöò A score of up to points (e.g. Bond Fund) A score of up to points

[9] Over Ten (10) years

but I would need to access these funds in an emergency.

Balanced

We strongly recommend you review your investment risk profi le at least once a year. When a major change occurs in your personal situation, make sure your investment decisions continue to match your needs.

I understand that this assessment is based on the information/data I provided and is designed to help me evaluate my financial needs as at the date of this declaration. I am aware that my financial needs may change over time depending on my personal situation and objectives. I understand that any incomplete or inaccurate information I provide may affect this assessment. Therefore, this assessment is intended for reference only and does not constitute, in any manner, advice given by the Company. No guarantee is given as to the accuracy or completeness of the suggestions and recommendations provided in this assessment.

I understand that the allocation of my premiums should be consistent with my risk profile as reflected in the results of this assessment. If however, I decide to allocate my funds differently from such results, either now or in the future, I acknowledge that I shall bear the consequences of my decision to invest in products/investments with higher risk. I further hold Sun Life, its representatives, employees, officers, directors and successor-in-interest, free and harmless from any and all, liabilities, claims, opportunity cost and causes of action of whatever kind or nature that may affect me as a result thereof.

If you have selected a Fund suited for a more aggressive risk profi le than your own, please provide a reason

I declare that I have performed sufficient fact-finding and analysis to ensure that the Sun Life product(s) I recommended is suitable to the client based on the needs, objectives, risk profile, other holdings, financial situation and other facts he/she disclosed. I also declare that the product(s) recommended and purchased are consistent with the clients’ financial condition and risk appetite. In case the client opted to purchase a product(s) other than those recommended,

I also declare that I have explained all the risks related to this purchase.

Signature of Advisor Date

Date

ºμμμs t»¹Ã 21% One

1% Å ee 6 6

CLIENT SUITABILITY ASSESSMENT

PORTFOLIO SELECTION

Client Selected Fund Option

Signature of Client Date

ADVISOR’S DECLARATION

Advisor Recommended Fund Option