个人客户风险评估问卷Customer Risk Profile Questionnaire以下1 5个问题将决定您的投资风险偏好，我们将根据您的投资风险偏好为您更好的配置资产。

(每个问题仅有一个答案)In choosing the appropriate investment portfolio，you should first consider Your risk tolerance，investment time frame and your financial circumstances．The following 15 questions aim to help you understand your risk profile and investment needs．客户姓名：Customer name_______________________________________________________________________________性别：□男□女婚姻状况：Sex □Male □Female Marital status____________________l、您的家庭年收入为?□A．5万元以下□B．5-20万元□C．20-50万元□D．50一1OO万元□E．100万元以上1、How much is the estimated annual income of your family(Chinese Yuan)?口A．50，000 or below 口B．50,000 to 200，000 口C．200，00 1 to 500，000口D．500，001 to 1，000，000 口E．Above 1，000，0002、您的投资目的是?□A．子女教育费,退休计划□B．个人目标(如置业、购车) □C．让财富保值增值2、What is the purpose of your investment?□A．Children’S education／Retirement Plan □B．Personal goal (e．g．Property／Car acquisition) □C．Wealth growth / accumulation3、您期望的投资理财回报是?(附注：高回报附带高风险)□A．跟银行存款利率大体相同□B．比定期存款利率稍高□C．远超过定期存款利率3、What is your expected return for the investment?(Remark：higher expected return carries higher risk)□A．In line with time deposit rate □B．Slightly more than time deposit rate□C．Significantly exceed time deposit rate4、您的年龄是?□A．18一30 □B．3l一40 □C．41-50 □D．51-60 □E．高于61岁4、What is your age?□A．18一30 □B．3l一40 □C．41-50 □D．51-60 □E．Above 6l5、未来五年，您预计自己每月可拿出多少资金用于投资理财?□A．预计未来每月可投资金额会减少(比如：退休)□B．预计未来每月可投资金额跟现在大体相同□C．预计未来每月可投资金额比现在高5、How do you expect your future monthly investable amount over the next five years?口A．Expect the monthly investable amount will decrease(e．g．retirement)口B．Expect the monthly investable amount will stay somewhat the same口C．Expect the monthly investable amount will be greater than now6、如果您要参与投资理财，您打算购买理财产品(含基金，下同)的资金占个人总资产的百分之几?口A．25％以下口B．25％一50％口C．51％～75％口D．75％以上6、If you consider lump sum investment，what percentage of your total assets will you invest?口A．Less than 25％口B．25％to 50％口C．51 % to 75％口D．Greater than 75％7、您希望您的投资目标在多长时间内实现?口A．1年以下口B.1-2年口C．3--5年口D．5年以上7、How do you expect your time horizon for this investment product?口 A. Less than 1 year 口B．1 to 2 years 口C．3 to 5 years 口D．More than 5 years8、以下哪项最能说明您的投资经验?口A．经验有限：除存款、国债，我几乎没有其他投资经验。

口B．经验适度：我有一些投资经验，但希望得到专业人士的进一步帮助：口C．经验丰富：我是活跃且有经验的投资者，希望白行进行投资决策?8、How would you describe your investment experience or know．edge9口A．I have very little investment experience apart From bank savings and time deposits口B．I have some knowledge in unit trusts／stokes/bonds investment．L／we appreciate Further guidance口C．I am an active and experienced investors and able to make my／our own investment decisions9、以下哪项是适合您的投资风格?口A．无风险：不希望本金承担风险口B．保守：希望保守投资，回报高于定期存款口C．稳健：希望以平新的投资方式，寻求资金的较高收益和成长性口D．进取：希望赚取高回报，能接受为期较长期间的负面波动，包括本金损失9、How would you describe your attitude towards risk?口A．I/we do not want to risk my／our capital or even subject to short-term fluctuation口B．I／we think capital preservation is important And expected return is more than time deposit rate口C．I／we think capital preservation is important but I am/we are willing to assume some risks to enhance the potential returns口D．I am/we are willing to accept significant risk for potentially higher returns1 0、当您购买的投资理财产品价值出现负收益时，您的反映是：口A，明显焦虑口B:稍有焦虑口C．可以接受口D．无所谓1 0、How does the performance of the investment affect your daily life?口A．Any losses incurred would seriously affect my／our daily jibe since J／We depend 01"1 my／our investment to meet my／our current expenses口B．I／we can maintain my／our standard of living in the time of a small dip in investment口C．Any investment losses may not concern me／us as I／we have already made provision for my／our needs 口D．A matter of indifference1 1、您可承受的价值波动幅度?口A．能够承受本金50％以上亏损口B．能够承受本金20-50％的亏损口C．能够承受本金10％以内的亏损口D．不能够承受本金损失11、Which of following volatility to return would be most tolerant to you?口A．Above 50％losses of my capital 口B．20％to 50％losses of my capital口C．Less than 10 ％losses of my capital 口D．NO risk to my capital12、您是否已充分了解拟购买原投资理财产品的类型、风险、期限、收益计算方式以及提前终止的约定?口A．是口B．否1 2、Have you fully understood the type，risks，time horizons，return calculations and liquidity of the products you would like to purchase?口A．Yes 口B．No1 3、对于不保本型理财产品，银行不承诺保证本金安全；您可能在产品到期或银行行使提前终止权时收回本金和较高收益，也可能无法获得任何收益且无法收回全部本金。

对于上述情况您是否已经清楚地了解并且能够接受?口A．是口B．否13、For product the principal of which is not guaranteed，you may get back the whole principal and some returns or you may lose part of you r principal when the products terminate，Have you known clearly all those Circumstances Could you bear all the outcomes?口A．Yes 口B．No1 4、投资于代客境外理财产品，从您签署认购协议起至产品到期，您可能会面临人民币升值的汇率风险，您的投资本金会因此面临损失的可能。