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Suitability Test – Seven Finances

Suitability Test

Template with scoring system specimen

The investment firms should ensure that the information regarding a Client’s or potential Client’s knowledge and experience in the investment field includes the following, to the extent appropriate to the nature of the Client, the nature and extent of the service to be provided and the anticipated type of product or transaction, including their complexity and the risks involved:

  • The types of service, transaction and financial instrument with which the Client is familiar with;
  • The nature, volume, and frequency of the Client’s transactions in financial instruments and the period over which they have been carried out;
  • The level of relevant education, profession or former profession of the Client or potential Client.