CUSTOMER ACCOUNT REVIEW FOR TRADING ... - OCBC Securities
CUSTOMER ACCOUNT REVIEW FOR TRADING ... - OCBC Securities
CUSTOMER ACCOUNT REVIEW FOR TRADING ... - OCBC Securities
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<strong>OCBC</strong> <strong>Securities</strong> Private Limited<br />
18 Church Street #01-00<br />
<strong>OCBC</strong> Centre South, Singapore 049479<br />
Trading Account No(s).<br />
<strong>CUSTOMER</strong> <strong>ACCOUNT</strong> <strong>REVIEW</strong> <strong>FOR</strong> <strong>TRADING</strong> IN LISTED SPECIFIED INVESTMENT PRODUCTS (CAR)<br />
Name of Trading Account Holder :<br />
NRIC/Passport No. :<br />
(A) EDUCATIONAL QUALIFICATIONS<br />
Home no. :<br />
Office no. :<br />
Mobile no. :<br />
Please select your qualification(s) from the list below and indicate the college of study and the year of graduation, where applicable:<br />
(i) Diploma or higher qualification in (please select):<br />
Accountancy<br />
Financial Engineering<br />
Actuarial Science<br />
Financial Planning / Insurance<br />
Economics<br />
Computational Finance<br />
Capital Markets Business / Business Administration / Business Management /<br />
Business Studies<br />
Commerce / Finance<br />
None of the above<br />
College of Study : _____________________________________________________________<br />
Year of Graduation : ___________________<br />
(ii) Professional finance-related qualifications in (please select):<br />
Chartered Institute of <strong>Securities</strong> & Investment (CISI)<br />
Chartered Alternative Investment Analyst (CAIA)<br />
Certified Financial Technician (CFTe)<br />
Financial Risk Manager (FRM)<br />
Chartered Financial Consultant (ChFC)<br />
Associate Financial Planner (AFP)<br />
Associate Wealth Planner (AWP)<br />
Certified Financial Planner (CFP)<br />
Certified Public Account (CPA) / (ACCA)<br />
Chartered Financial Analyst (CFA)<br />
(CMFAS Exam) Module – <strong>Securities</strong> Products and Analysis & Futures<br />
Products and Analysis<br />
None of the above<br />
College of Study : _____________________________________________________________<br />
(B) Investment Experience<br />
Year of Completion: ___________________<br />
Have you traded at least six transactions in listed Specified Investment Products (“SIP”) which are listed or quoted on a securities or futures market in<br />
the preceding three years?<br />
No<br />
Yes<br />
If yes, please select the types of products traded (please select):<br />
Certificates<br />
Exchange Traded Funds (“ETFs”)<br />
Exchange Traded Notes (“ETNs”)<br />
Futures (extended settlement contracts)<br />
Structured Warrants<br />
(C) Work Experience<br />
Options<br />
Foreign <strong>Securities</strong><br />
Callable Bull/Bear Contracts (“CBBCs”)<br />
Stapled securities<br />
Do you have a minimum of 3 continuous years of relevant working experience 1 in the preceding 10 years in the areas mentioned below?<br />
Management of Investment Products<br />
Sale / Trading of Investment Products<br />
Research / Analysis of Investment Products<br />
Provision of training in Investment Products<br />
Development / Structuring of Investment Products<br />
Work experience in Accountancy<br />
Work experience in Actuarial Science<br />
Work experience in Treasury<br />
Work experience in Financial Risk Management activities<br />
Provision of legal advice or possession of legal expertise in the above<br />
areas would also qualify<br />
None of the above<br />
If yes, please select one or more of the appropriate box(es) above and provide us with your Company name and any other information on your relevant<br />
working experience.<br />
Company Name : __________________________________________________________________________________________________________<br />
Any other information on relevant working experience:<br />
Note 1 : Support functions in the areas mentioned above that are administration or clerical in nature will not be considered as relevant experience.<br />
Co. Reg. No.: 196600262R Page 1 of 2
(D) SGX Online Quiz<br />
Have you personally undergone and completed the eTutorial and passed the online Quiz (SGX online Education on SIPs)?<br />
No<br />
Yes<br />
If yes, please state the score(s) of all the assessment(s) ___________________________________________________________________________<br />
Have you been declined for opening a SIP trading account by another licensed person or exempt financial institution?<br />
No<br />
Yes<br />
If yes, please indicate the name(s) of the broker __________________________________________________________________________________<br />
I hereby declare that the information submitted by me for the purpose of Customer account review, is true and accurate.<br />
____________________________________________<br />
Signature of Trading Account Holder / Date<br />
Note: Please ensure all questions are completed. Incomplete or inaccurate responses will affect the outcome of our assessment.<br />
<strong>FOR</strong> OFFICIAL USE ONLY<br />
Verifying Officer/Date:<br />
CS<br />
(OTC/SV/PV)<br />
Tagging:<br />
ASD<br />
Input by/Date:<br />
Checked by/Date:<br />
Co. Reg. No.: 196600262R Page 2 of 2
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