CRA-4.1.8
(a) Client’s knowledge and experience:
(i) the types of investment services and transaction which the client is familiar with;
(ii) the nature, volume and frequency of the client’s transactions with trading and investments; and
(iii) the level of education, profession or (if relevant) former profession of the client.
(b) Client’s financial situation:
(i) the source and extent of the client’s regular income;
(ii) the client’s assets, including liquid assets, investments and real property;
(iii) the client’s regular financial commitments;
(iv) the ability to bear losses.
(c) Client’s investment objective:
(i) the client’s investment horizon;
(ii) the client’s risk preferences, risk profile and risk tolerance; and
(iii) the purposes of the investment.
Added: April 2023