ISAF Non-Individual ISAF (01/2015) INVESTOR SUITABILITY ASSESSMENT FORM This Investor Suitability Assessment Form will guide you in choosing the unit trust funds that suit your investment objectives, risk tolerance, financial profile and investment experience. The information you provide will form the basis of our recommendation. It is important to provide accurate and complete information to ensure that suitable unit trust funds are recommended according to your investment needs and objectives. The Authorised Signatory should complete this Form. SECTION A: COMPANY PROFILE Name of Institution : Registration No. : Name of Authorised Signatory : Designation : Category of Investor* : Accredited Investors (Your organization is exempted from this assessment) Retail Investor High Net-Worth Entity (Your organization may choose to opt out from this assessment) We would like to invest in the funds of our choice and do not want to undergo this Suitability Assessment. Authorised Signatory Common Seal / Rubber Stamp Name : *Please refer to Appendix 1 (page 5). Page 1 of 5
SECTION B: DECLARATION (only for Additional Investment in the existing fund) I do not wish to undergo this Suitability Assessment as there has been no material change in the information provided in the previous assessment undertaken during Initial Investment. Name : Name : Designation : SECTION C: SUITABILITY ASSESSMENT SCORE 1. Investment experience. a) Less than 1 year 1 b) 1 3 years 2 c) 3 5 years 3 d) More than 5 years 4 2. Current investment portfolio (you may select more than one). a) Savings, bank deposits and money market placements 1 b) Bonds 2 c) Unit Trust 3 d) Stocks and shares 4 e) Foreign currency and alternative investment i.e. derivatives 5 3. Duration period for this investment application. a) Less than 1 year 1 b) 1 3 years 2 c) 3 5 years 3 d) 5 10 years 4 e) More than 10 years 5 4. Objective that best defines this investment. a) For regular income stream while preserving capital and to provide liquidity for 1 cash flow requirements b) For stable income stream and an opportunity for capital appreciation 2 c) For significant capital growth, distribution of income is not the main focus 3 Page 2 of 5
5. Preferred asset allocation. a) 100% in liquid investment 1 b) 100% in fixed-income securities 2 c) A balanced portion in fixed-income securities and equities 3 d) 100% in equities 4 Total score of your organisation s Suitability Assessment is SECTION D: RECOMMENDATION (to be completed by AMB s Consultant) Recommended funds based on your organisation s risk profile are: Conservative, 5 15 AMB Income Trust Fund (AMBITF) AMB Enhanced Bond Trust Fund (AMBEBTF) AMB Lifestyle Trust Fund Today (AMBLTF Today) AMB Dana Arif (AMBDA) AMB Dana Nabeel (AMBDN) Moderate, 16 19 AMB Balanced Trust Fund (AMBBTF) AMB Dana Ikhlas (AMBDI) Moderately Aggressive, 20 28 AMB Unit Trust Fund (AMBUTF) AMB Index-Linked Trust Fund (AMBILTF) AMB Ethical Trust Fund (AMBETF) AMB Value Trust Fund (AMBVTF) AMB Dividend Trust Fund (AMBDTF) AMB Dana Yakin (AMBDY) Aggressive, 29 31 AMB SmallCap Trust Fund (AMBSCTF) Basis of recommendation: SECTION E: ACKNOWLEDGEMENT ON RECOMMENDATION Please select one: We agree with the result of this Suitability Assessment and wish to proceed with the investment recommendation. We have decided to invest in a fund that is not recommended by the Consultant. The fund is. Page 3 of 5
SECTION F: ACKNOWLEDGEMENT OTHERS Please select where appropriate; We decline to provide certain information required for this Suitability Assessment and that this may adversely affect our Suitability Assessment outcome. We confirm that all information disclosed is true, complete and accurate. We acknowledge receipt of a copy of the Product Highlight Sheet (PHS) and all relevant disclosure documents. We acknowledge that the AMB s Consultant has explained clearly and we have understood the features and risks of the fund. Name : Name : Designation : Thank you for taking time to complete this Suitability Assessment. The recommendation is made based on information obtained from this assessment. You are advised to exercise judgment in making an informed decision in relation to the unit trust funds. Page 4 of 5
APPENDIX 1 GUIDELINES ON SALES PRACTICES OF UNLISTED CAPITAL MARKET PRODUCTS Category of Accredited Investor Central Bank of Malaysia established under the Central Bank of Malaysia Act 2009 A holder of a Capital Markets Services Licence An executive director or chief executive officer of a holder of a Capital Markets Services Licence A unit trust scheme or a prescribed investment scheme A closed end fund approved by the SC A licensed institution as defined in the Banking and Financial Institutions Act 1989 or an Islamic bank as defined in the Islamic Banking Act 1983 A Labuan bank as defined under the Labuan Financial Services and Securities Act 2010 An insurance company registered under the Insurance Act 1996 An insurance licensee licensed under the Labuan Financial Services and Securities Act 2010 A takaful licensee licensed under the Labuan Islamic Financial Services and Securities Act 2010 A takaful operator registered under the Takaful Act 1984 A private retirement scheme as defined in the CMSA Category of High Net-Worth Entity A corporation with total net assets exceeding RM10 million or its equivalent in foreign currencies based on the last audited accounts A partnership with total net assets exceeding RM10 million or its equivalent in foreign currencies A company that is registered as a trust company under the Trust Companies Act 1949 which has assets under management exceeding RM10 million or its equivalent in foreign currencies A corporation that is a public company under the Companies Act 1965 which is approved by the SC to be a trustee under the CMSA and has assets under management exceeding RM10 million or its equivalent in foreign currencies A pension fund approved by the Director General of Inland Revenue under the Income Tax Act 1967 A statutory body established by an Act of Parliament or an enactment of any State Category of Retail Investor Not a high net-worth individual, a high net-worth entity or an accredited investor. Page 5 of 5