This due diligence questionnaire is to enable a company to discharge its responsibilities under the private placement and limited offering exemptions and that, as issuer and/or any of its sales personnel, a company will rely upon the information and representations and warranties contained in this questionnaire.
Alaska Investor Suitability Questionnaire
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US-DD060210
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FAQ
05 Components of Suitability Obligations. Rule 2111 is composed of three main obligations: reasonable-basis suitability, customer-specific suitability, and quantitative suitability.
A test that is done by the investment firm where it asks the client some questions to reach an understanding of the types of investments that will be suitable for the client. Typically questions would revolve around the client`s investment objectives, financial situation, knowledge and experience.
Understanding the Client's Risk Profile One of the most important factors to be considered in matching appropriateness and suitability of an investment with a client's needs and circumstances is measuring that client's tolerance for risk.
Suitability refers to an ethical, enforceable standard regarding investments that financial professionals are held to when dealing with clients. An investment must meet the suitability requirements outlined in FINRA Rule 2111 prior to being recommended by a firm to an investor.
The fiduciary standard of care requires that a financial adviser act solely in the client's best interest when offering personalized financial advice.
Suitability refers to an ethical, enforceable standard regarding investments that financial professionals are held to when dealing with clients. An investment must meet the suitability requirements outlined in FINRA Rule 2111 prior to being recommended by a firm to an investor.
The suitability standard requires only that investments be suitable to the investor's circumstances, and may allow a broker to recommend an investment that is more costly and generates a higher commission than a similar low-priced option.
The Purpose of this Questionnaire is to solicit certain information regarding your financial status to determine whether you are an Accredited Investor, as defined under applicable federal and state securities laws, and otherwise meet the suitability criteria established by the Company for purchasing Shares.
Reasonable-basis suitability has two main components: a broker must (1) perform reasonable diligence to understand the potential risks and rewards associated with a recommended security or strategy and (2) determine whether the recommendation is suitable for at least some investors based on that understanding.
The Investor Questionnaire suggests an asset allocation based on information you enter about your investment objectives and experience, time horizon, risk tolerance, and financial situation. Your asset allocation is how your portfolio is divided among stocks, bonds, and short-term reserves.