According to the relevant requirements of the China Securities Regulatory Commission and the China Futures Association, investors must assess the appropriateness and they will be divided into standard and professional investors.
1、Professional Investors
Professional investors can buy or accept all risk levels of products and services.
(1) Professional investors shall meet the following conditions
Approved by the financial regulatory authority, the financial institutions, financial products issued by financial institutions, social public welfare funds, qualified foreign institutional investors (QFII), RMB qualified foreign institutional investors (RQFII), etc., were directly identified as professional investors.
(2) Natural or legal persons who apply to become professional investors
Applicants are required to comply with the relevant requirements of assets and investment experience.
Evaluation of Investors suitability steps:
(1) Fill in "Investors Basic information form (natural person, institutions)";
(2) Fill in the "Professional investors application form" to provide reference materials which comply with the relevant requirements of the assets, investment experience and etc;
(3) Signed the "Notification of Professional investors".
2、General Investors
General investors in accordance with the risk tolerances capacity is divided into five categories, from low to high, they are C1, C2, C3, C4, C5.
Evaluation of Investors suitability steps:
(1) Fill in "Investors Basic information form (natural person, institutions)";
(2) Complete the "General investors risk tolerance assessment questionnaire (natural person, institution)";
(3) According to the questionnaire answer to get scores which determined the risk tolerance rating;
(4) Signed the" Notification of general investor's adequacy assessment".
3、Risk Rating of Products & Services
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Risk Rating of Products & Services |
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|
Risk Rating |
Objects |
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R1 |
Products and services of Assets management rating R1 |
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R2 |
Products and services of Assets management rating R2 |
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R3 |
Commodity Futures and related products(Crude Oil Futures exclusive), products and services of Assets management rating R3 |
|
R4 |
Financial Futures, Options, Crude Oil Futures, OTC derivatives with limited risk exposure, products and services of Assets management rating R4 |
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R5 |
Including but not limited to OTC derivatives with unlimited risk exposure, products and services of Assets management rating R5 |
Investors of C1 category can buy or accept products and services rating R1;
Investors of C2 category can buy or accept products and services rating R1,R2;
Investors of C3 category can buy or accept products and services rating R1,R2,R3;
Investors of C4 category can buy or accept products and services rating R1,R2,R3,R4;
Investors of C5 category can buy or accept products and services rating R1,R2,R3,R4,R5.
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