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Client profiling - Record - Knowledge and experience

Define the client's knowledge and experience as well as the previous behaviour regarding financial transactions.

Financial instrument in EUR/foreign currency

For the individual financial instruments, select whether the client has the corresponding knowledge (and experience).

The information is necessary for the appropriateness and suitability test. If information on financial instruments that the client wants to buy as part of the investment advice is incomplete, then you will be prompted during the "Investment simulation" activity to add the information in the "Client profile" activity.

You can specify the client's knowledge and experience on the following financial instruments (in EUR and FX, respectively):

  • Shares
  • Bonds
  • Funds
  • Futures
  • Options
  • Warrants
  • Certificates

For each financial instrument, you can select the level of knowledge and experience from the following options:

  • Unspecified
  • no knowledge
  • has knowledge (includes experience)

Previous investment behaviour

ElementOptions

Volume per transaction

How high was the average transaction volume?

  • none
  • to 10 thousand EUR
  • from 10 thousand EUR
  • from 25 thousand EUR
  • from 50 thousand EUR
  • from 100 thousand EUR

Forward transactions on credit basis

Were there transactions on a credit basis, and if yes, up to which credit line?

  • none
  • to 50 thousand EUR
  • from 50 thousand EUR
  • from 100 thousand EUR
  • from 250 thousand EUR
  • from 500 thousand EUR

Number of transactions p. a.

What was the average number of transactions per year?

  • none
  • to 10
  • from 10
  • from 25
  • from 50
  • from 100
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