Client Risk Assessment Form Template for Singapore

A Client Risk Assessment Form is a mandatory regulatory document used in Singapore's financial services sector to evaluate and document client risk profiles in accordance with MAS guidelines. The form combines elements of know-your-customer (KYC) requirements, anti-money laundering (AML) compliance, and investment suitability assessment. It helps organizations meet their regulatory obligations while protecting both the institution and its clients through proper risk evaluation and documentation.

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What is a Client Risk Assessment Form?

The Client Risk Assessment Form is a critical compliance tool required under Singapore's regulatory framework. It is designed to help organizations evaluate client risk levels, ensure regulatory compliance, and maintain appropriate documentation for audit purposes. The form must be completed before establishing business relationships or conducting significant transactions, incorporating elements such as financial status, investment experience, risk tolerance, and source of funds. It serves as a cornerstone document for meeting MAS guidelines on customer due diligence and helps organizations maintain robust risk management practices.

What sections should be included in a Client Risk Assessment Form?

1. Client Information: Basic personal/corporate information and contact details, including name, address, registration numbers, and contact information

2. Financial Profile: Comprehensive assessment of client's financial status including income, assets, liabilities, and source of wealth declarations

3. Investment Experience: Evaluation of client's investment history, knowledge of financial products, and professional qualifications if relevant

4. Risk Tolerance Assessment: Standardized questionnaire to determine client's risk appetite, investment objectives, and time horizon

5. Data Protection Notice: PDPA compliance statement, consent clauses, and information on data collection, usage, and disclosure

What sections are optional to include in a Client Risk Assessment Form?

1. Enhanced Due Diligence: Additional due diligence requirements for high-risk clients, politically exposed persons (PEPs), or transactions above certain thresholds

2. Industry-Specific Questions: Supplementary questions based on specific industry requirements or regulatory obligations

3. Source of Funds Declaration: Detailed declaration section for establishing the legitimacy of funds, particularly for large transactions or high-risk scenarios

What schedules should be included in a Client Risk Assessment Form?

1. Risk Disclosure Statement: Comprehensive statement of potential risks and standard disclaimers as required by MAS guidelines

2. Product Suitability Matrix: Reference guide matching client risk profiles to suitable investment products and services

3. Supporting Documents Checklist: Detailed list of required KYC documents and verification requirements

4. Declaration Form: Client acknowledgment and declarations regarding the accuracy of information provided and acceptance of terms

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Alex Denne

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Download a Standard Client Risk Assessment Form

Review your own Client Risk Assessment Form

What is a Client Risk Assessment Form?

What sections should be included in a Client Risk Assessment Form?

What sections are optional to include in a Client Risk Assessment Form?

What schedules should be included in a Client Risk Assessment Form?

Authors

Alex Denne

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