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Process for risk profiling of the client and for assessing suitability of advice

For giving Investment advice to clients we are managing a comprehensive risk profiling of clients we obtain from the client, such information is necessary to give investment advice.

Age of the Client:

In our risk profiling we gather the information about age group of the client.

The purposes of the investment:

Whether they want to invest in short time horizon it’s involve risk. or wants to long term investment.

Risk:

In trading or investment, risk stands for “the loss of capital”. We assume, if client opens demat account then he understand the investment in stock market is subject to market risk and he/she is ready to take at least small risk and comes default in low risk category.

Liability / Borrowing Details:

We obtain the necessary information about their current liabilities and borrowing from Banks or from financial institutions or from any other means of finance to access their tolerance level.

Investment objectives including time for which they wish to stay invested:

Whether they want to invest in short time horizon it’s involve risk. or wants to long term investment.

Income details of Client:

We obtain information about what is the source of Income of the client and what is his/her annual income. Expenses of the client and Fund that can be save for future investment. We obtain information about their existing investments/assets, whether it requires diversifying their investments

Risk Appetite / Tolerance:

On the basis of discussion with the client & analysis of their current assets and their current liabilities, we decided the Risk appetite of the client and tolerance level of the client.

Process for assessing the risk a client is willing and able to take

On the basis of the questioner, we give marks to the client between 1 to 30 and on the basis of marks we determine the risk category of the Client On the basis of risk category, we have three categories of clients

  • 1. High Risk — This option for aggressive traders who are willing to take very high risk in the stock market. Example: Swing future/BTST in F&O which carries a higher risk of gap up or gap down market opening as well as a global risk.
  • 2. Moderate Risk- This option is for less aggressive traders who are ready to bear the high risk with high returns in the financial market. Example: Option trading (Buy Side), Intraday trading (both equity & future).
  • 3. Low Risk- This category is for novice trader who does not have any capacity to take a risk and want safe investment heaven. This product is also for learner who wants to take practical exposure in the financial market. Example: Swing Equity, Bank FD, Post office scheme, Equity trading (investment).

Product Suitability Table :-

CategoryRisk ScoreProduct Suitability
High Risk51-78F&O BTST calls, Swing Future, Leverage Trading, Category include High, moderate and low risk
Moderate Risk31-50Intraday Cash & options strategies, category include low risk
Low Risk11-30Pure cash trading (controlled quantity), Delivery trading, Bank FD, Post office scheme

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Bank Details:-

Bank Name – ICICI Bank
Account Number – 037805003402
Name – Financial Independence Services
Current Account
Branch Address – C Block, Janakpuri Branch
IFSC Code – ICIC0000378

Upi id – 8882081067@okbizaxis

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Thanks & Regards
FIS Team