PDF《有Yes 没有 No》

衍生工具知识评估问卷 Derivatives Knowledge Assessment Questionnaire 客户姓名/名称 (中文) Client's Name (Chinese) ("客户") ("the Client") 帐户号码 Account No.

客户姓名/名称 (英文) Client's Name (English) 本问卷旨在评估客户对衍生工具的认识. The purpose of this questionnaire is to access the Client's knowledge of derivatives. (1) 客户有没有衍生工具知识? Does the Client have Derivatives Knowledge? 有Yes 没有 No (2) 如有,客户如何获得有关衍生工具知识? If yes, how did the Client acquire the relevant knowledge of derivatives? 客户拥有曾买卖衍生产品的经验,例如最少在过去3年内进行5次或以上任何种类的衍生产品交易.The Client has trading experience in any kinds of derivatives products, for example at least

5 transactions of any derivatives products in the past three years. 客户曾接受有关衍生产品的培训或修读相关课程.The Client has undergone training or attended courses on derivatives products. 客户拥有涉及衍生工具的工作经验.The Client has working experience involved in derivatives. 其他 Others (请注明 please specify 客户声明 Client Declaration 客户确认已阅读过及理解《客户帐户协议C条款及细则》中《风险披?声明》的内容,而《风险披露声明》乃根突 所选择的语言(中文或英文)提供,并由第一上海持牌代表解释其内容及客户已获得邀请细阅及进行提问,如客户有此意 愿,可就《风险披露声明》徵求独立意见,与及客户谨此同意受可不时被修改的协议书(包括其标准条款及细则及附表) 约束. The Client hereby declares that the client has read and understood the contents of the Risk Disclosure Statements in the Client Account Agreement - Terms and Conditions, which have been provided in the client's language of choice (English or Chinese) and explained by the licensed representative of First Shanghai;

and that the client was invited to read the Risk Disclosure Statements, to ask questions and if the client wishes, to take independent advice and the client hereby agrees to be bound by the Agreement including the Terms and Conditions and relevant schedule(s) as the same may be amended from time to time. dd(日) mm (月) yyyy(?) 客户签署/公司盖章 Client Signature(s) / Business Chop 日期 Date 本公司专用 核实签署 审核者 批核者 输入者 S_DKAQ17082018 第一上海证券有限公司/第一上海期货有限公司FIRST SHANGHAI SECURITIES LIMITED / FIRST SHANGHAI FUTURES LIMITED 香港中环德辅道中

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