Personal Risk Profile Questionnaire

For RegistrarUnitholder Name_______________________Total Score______Investor is to tolerateforeign exchange risk□ Yes□ NoI Please provide answers to the following questions (Select only one checkbox)1. How old are you? Score ____□(1) Over 60 years old □(2) 50 - 60 years□(3) 35—49 years□(4) 34 years or younger2. Level of education? Score ____□(1) Less than bachelor’s degree level□(2) Bachelor’s degree or above3. How long have you been investing in securities(consider investment units, equities, debentures,government bonds and derivatives)? Score ____□(1) Never invested before□(2) Less than 1 year□(3) Between 1 –5 years□(4) More than 5 years4. How long do you plan to keep your investment?□(1) Less than 1 yearScore ____□(2) Between 1 - 3 years□(3) Between 3 – 7 years□(4) More than 7 years5. How much of your regular expenses will be fundedfrom your investment returns? Score ____□(1) All□(2) Majority of expenses□(3) Some expenses□(4) None6. What percentage of your total assets is invested insecurities?Score ____□(1) More than 60% □(2) 30% - 60%□(3) 10% - 30% □(4) Less than 10%7. What is your investment attitude? Score ____□(1) Cannot tolerate losing my principal, even if Ihave the chance of higher returns.□(2) I can tolerate losing part of my principal tohave an opportunity for higher returns.□(3) I can tolerate losing a moderate proportion ofmy principal to have an opportunity for higherreturns.□(4) I want the opportunity of high returns. Thereis no limit to the level of investment risk I amprepared to accept.Personal Risk Profile QuestionnaireTo assess your risks tolerance for investing in mutual fundsRisk Appetite answer(1) = 1 score / answer(2) = 2 scoresCalculation : / answer(3) = 3 scores / answer(4) = 4 scoresFor Officials Only : Recorded by__________________________Officer/Investor contact name___________________________8. Securities are often highly volatile and have a higher chanceof loss however can yield a higher return in the long-term.How would you rate your level of willingness to accept thisrisk?Score ____□(1) I can accept only minimal risk, and want to invest inproducts that generate a recurring revenue stream witha high degree of safety. I accept that returns might berelatively low.□(2) I can accept some level of risk that I may have lossesfrom investment to create opportunities for higherreturns over the long term.□(3) I can accept a moderate level of risk that I may havelosses from investment to create opportunities forhigher returns over the long term.□(4) I can accept a high level of risk that I may have lossesfrom investment to create opportunities for higherreturns over the long term.9. Safer investments sometimes yield returns lower than overallinflation, causing an overall decrease in the purchasingpower. When considering your investment goals, which ofthe following matches your views?Score ____□(1) The principal amount of the investment must be secure,although I accept returns may be lower than inflation.□(2) I accept the risk of losing part of the principal investmentin order to have chance to obtain a return higherthan inflation.□(3) I aim for a higher return on investment than inflation,and accept the associated risks.□(4) I wish to get the highest possible return above inflationand I accept full risk in order to try and achieve my goal.10. How much of a loss can you accept from investment in unittrust (as a percentage of your total investment)? Score ____□(1) Less than 10% □(2) 10% - 20%□(3) 20% - 50% □(4) More than 50%II For funds investing 20% or more of NAV in foreign instruments11. Do you accept the exchange rate risk?□(1) Yes□(2) NoUnitholder___________________________ Date__________The total score from this questionnaire shall explain your risk profile that includes what type of investor you are andlevel of investment risk that you can accept. You can compare your total score with the score in risk profile table thatis on the back of this form.

For Subscription and redemption service providerUnitholder Name_______________________Total Score______Investor is to tolerateforeign exchange risk□ Yes□ NoI Please provide answers to the following questions (Select only one checkbox)1. How old are you? Score ____□(1) Over 60 years old □(2) 50 - 60 years□(3) 35—49 years□(4) 34 years or younger2. Level of education? Score ____□(1) Less than bachelor’s degree level□(2) Bachelor’s degree or above3. How long have you been investing in securities(consider investment units, equities, debentures,government bonds and derivatives)? Score ____□(1) Never invested before□(2) Less than 1 year□(3) Between 1 –5 years□(4) More than 5 years4. How long do you plan to keep your investment?□(1) Less than 1 yearScore ____□(2) Between 1 - 3 years□(3) Between 3 – 7 years□(4) More than 7 years5. How much of your regular expenses will be fundedfrom your investment returns? Score ____□(1) All□(2) Majority of expenses□(3) Some expenses□(4) None6. What percentage of your total assets is invested insecurities?Score ____□(1) More than 60% □(2) 30% - 60%□(3) 10% - 30% □(4) Less than 10%7. What is your investment attitude? Score ____□(1) Cannot tolerate losing my principal, even if Ihave the chance of higher returns.□(2) I can tolerate losing part of my principal tohave an opportunity for higher returns.□(3) I can tolerate losing a moderate proportion ofmy principal to have an opportunity for higherreturns.□(4) I want the opportunity of high returns. Thereis no limit to the level of investment risk I amprepared to accept.Personal Risk Profile QuestionnaireTo assess your risks tolerance for investing in mutual fundsRisk Appetite answer(1) = 1 score / answer(2) = 2 scoresCalculation : / answer(3) = 3 scores / answer(4) = 4 scoresFor Officials Only : Recorded by__________________________Officer/Investor contact name___________________________8. Securities are often highly volatile and have a higher chanceof loss however can yield a higher return in the long-term.How would you rate your level of willingness to accept thisrisk?Score ____□(1) I can accept only minimal risk, and want to invest inproducts that generate a recurring revenue stream witha high degree of safety. I accept that returns might berelatively low.□(2) I can accept some level of risk that I may have lossesfrom investment to create opportunities for higherreturns over the long term.□(3) I can accept a moderate level of risk that I may havelosses from investment to create opportunities forhigher returns over the long term.□(4) I can accept a high level of risk that I may have lossesfrom investment to create opportunities for higherreturns over the long term.9. Safer investments sometimes yield returns lower than overallinflation, causing an overall decrease in the purchasingpower. When considering your investment goals, which ofthe following matches your views?Score ____□(1) The principal amount of the investment must be secure,although I accept returns may be lower than inflation.□(2) I accept the risk of losing part of the principal investmentin order to have chance to obtain a return higherthan inflation.□(3) I aim for a higher return on investment than inflation,and accept the associated risks.□(4) I wish to get the highest possible return above inflationand I accept full risk in order to try and achieve my goal.10. How much of a loss can you accept from investment in unittrust (as a percentage of your total investment)? Score ____□(1) Less than 10% □(2) 10% - 20%□(3) 20% - 50% □(4) More than 50%II For funds investing 20% or more of NAV in foreign instruments11. Do you accept the exchange rate risk?□(1) Yes□(2) NoUnitholder___________________________ Date__________The total score from this questionnaire shall explain your risk profile that includes what type of investor you are andlevel of investment risk that you can accept. You can compare your total score with the score in risk profile table thatis on the back of this form.

For UnitholderUnitholder Name_______________________Total Score______Investor is to tolerateforeign exchange risk□ Yes□ NoI Please provide answers to the following questions (Select only one checkbox)1. How old are you? Score ____□(1) Over 60 years old □(2) 50 - 60 years□(3) 35—49 years□(4) 34 years or younger2. Level of education? Score ____□(1) Less than bachelor’s degree level□(2) Bachelor’s degree or above3. How long have you been investing in securities(consider investment units, equities, debentures,government bonds and derivatives)? Score ____□(1) Never invested before□(2) Less than 1 year□(3) Between 1 –5 years□(4) More than 5 years4. How long do you plan to keep your investment?□(1) Less than 1 yearScore ____□(2) Between 1 - 3 years□(3) Between 3 – 7 years□(4) More than 7 years5. How much of your regular expenses will be fundedfrom your investment returns? Score ____□(1) All□(2) Majority of expenses□(3) Some expenses□(4) None6. What percentage of your total assets is invested insecurities?Score ____□(1) More than 60% □(2) 30% - 60%□(3) 10% - 30% □(4) Less than 10%7. What is your investment attitude? Score ____□(1) Cannot tolerate losing my principal, even if Ihave the chance of higher returns.□(2) I can tolerate losing part of my principal tohave an opportunity for higher returns.□(3) I can tolerate losing a moderate proportion ofmy principal to have an opportunity for higherreturns.□(4) I want the opportunity of high returns. Thereis no limit to the level of investment risk I amprepared to accept.Personal Risk Profile QuestionnaireTo assess your risks tolerance for investing in mutual fundsRisk Appetite answer(1) = 1 score / answer(2) = 2 scoresCalculation : / answer(3) = 3 scores / answer(4) = 4 scoresFor Officials Only : Recorded by__________________________Officer/Investor contact name___________________________8. Securities are often highly volatile and have a higher chanceof loss however can yield a higher return in the long-term.How would you rate your level of willingness to accept thisrisk?Score ____□(1) I can accept only minimal risk, and want to invest inproducts that generate a recurring revenue stream witha high degree of safety. I accept that returns might berelatively low.□(2) I can accept some level of risk that I may have lossesfrom investment to create opportunities for higherreturns over the long term.□(3) I can accept a moderate level of risk that I may havelosses from investment to create opportunities forhigher returns over the long term.□(4) I can accept a high level of risk that I may have lossesfrom investment to create opportunities for higherreturns over the long term.9. Safer investments sometimes yield returns lower than overallinflation, causing an overall decrease in the purchasingpower. When considering your investment goals, which ofthe following matches your views?Score ____□(1) The principal amount of the investment must be secure,although I accept returns may be lower than inflation.□(2) I accept the risk of losing part of the principal investmentin order to have chance to obtain a return higherthan inflation.□(3) I aim for a higher return on investment than inflation,and accept the associated risks.□(4) I wish to get the highest possible return above inflationand I accept full risk in order to try and achieve my goal.10. How much of a loss can you accept from investment in unittrust (as a percentage of your total investment)? Score ____□(1) Less than 10% □(2) 10% - 20%□(3) 20% - 50% □(4) More than 50%II For funds investing 20% or more of NAV in foreign instruments11. Do you accept the exchange rate risk?□(1) Yes□(2) NoUnitholder___________________________ Date__________The total score from this questionnaire shall explain your risk profile that includes what type of investor you are andlevel of investment risk that you can accept. You can compare your total score with the score in risk profile table thatis on the back of this form.

Very highHighMediumto highRisk levelMedium to lowLowAssessing your risk profileScoreJuristic PersonScorePersonDetails of Investor TypeAcceptable risk levelLess than 13 Less than 15 You are an investor with low risk profile.You want a short period of investment and do notaccept invest-ment risk. You expects to receive thereturn of investment higher than bank deposit rate.Level 1 but you can invest in anyfunds that are ordered risk levelbetween 2-8 by sum of investmentproportion of them not more than20% of total investment.13 - 18 15 - 21 You are an investor with medium to low risk profile.You want regular income from investment but theinvestment principal must be fully protected. You canaccept low risk from investment.Level 1 - 4 but you can invest in anyfunds that are ordered risk levelbetween 5-8 by sum of investmentproportion of them not more than20% of total investment.19 - 24 22 - 29 You are an investor with medium to high risk profile.You expect to receive higher return from investmentbut acknowledge that your principal investment cansomewhat loss.25 - 30 30 - 36 You are an investor with high risk profile.You expect the growth of investment principal andreturn in long-term period, and acknowledge thatyou take high risk so your investment principal maybe profit or loss.Level 1 - 5 but you can invest in anyfunds that are ordered risk levelbetween 6-8 by sum of investmentproportion of them not more than20% of total investment.Level 1 - 7 but you can invest in anyfunds that are ordered 8 of risk levelby sum of investment proportion ofthem not more than 20% of totalinvestment.31 scoresor higher37 scoresor higherYou are an investor with very high risk profile.You seek an opportunity to receive high return frominvestment and acknowledge that you must to accepthigh investment risk.Level 1 - 8Match “Mutual Fund” with your risk profile1 Local money market fund : The fund emphasizes to invest in Thailand only by investing in fixed income instrumentsor other securities as specified by the Office of the SEC and are redeemed by on request or at paymentdate that is not over than 1 year since the date of investment, and have to keep portfolio duration not over 3months at any time.2 Money market fund : The fund has policy to invest in foreign debts by proportion not more than 50 percent ofNAV. Fixed income instruments or other securities are as specified by the Office of the SEC and redeemed byon request or at payment date that is not over than 1 year since the date of investment. Portfolio duration isnot over 3 months at any time.3 Government Bond Fund : The fund emphasizes to invest in government bond and keep average investmentportion in government bond not less than 80 percent of NAV during the accounting period.4 General Fixed Income Fund5 Mixed Fund : The fund invests in both of fixed income instruments and equity.6 Equity Fund : The fund emphasizes to invest in equity and has average investment proportion not less than 65percent during accounting period.7 Sector Fund : The fund emphasizes to invest in equity and has average investment proportion not less than 80percent during accounting period.8 Alternative Investment Fund : The fund emphasizes in assets deemed as alternative investment or with complexstructure i.e. commodity, gold fund, or derivatives that are not used for hedging purpose. This includesstructure products that are not structured for principal protection.