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Risk Acknowledgement Form

Risk Acknowledgement Form Template for Hong Kong

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Key Requirements PROMPT example:

Risk Acknowledgement Form

"I need a Risk Acknowledgement Form for my Hong Kong-based wealth management firm that covers complex derivative products and is suitable for high-net-worth individual clients, with specific emphasis on cross-border investment risks and margin trading."

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Document background
The Risk Acknowledgement Form is a crucial document in Hong Kong's financial services landscape, required by regulatory authorities including the Securities and Futures Commission (SFC) and Hong Kong Monetary Authority (HKMA). This document is essential when clients engage in investment products or services that carry significant risks, particularly complex products, derivatives, or margin trading. The form must be executed before clients can proceed with certain investment transactions, serving as evidence that the client understands and accepts the associated risks. It typically includes comprehensive risk disclosures, client confirmations, and specific acknowledgements tailored to the particular investment product or service being offered. The document helps financial institutions meet their regulatory obligations while providing a layer of legal protection by demonstrating they have properly informed clients of potential risks.
Suggested Sections

1. Client Information: Details of the client including name, account number, and contact information

2. Product/Service Identification: Clear identification of the investment product(s) or service(s) covered by the risk acknowledgement

3. General Risk Warning: Prominent warning statement about the general risks of investment

4. Specific Risk Disclosures: Detailed explanations of specific risks associated with the product/service

5. Client Representations: Statements confirming the client's understanding and acceptance of risks

6. Independent Decision Acknowledgement: Client's confirmation that they made their own investment decision

7. Financial Resources Confirmation: Client's acknowledgement of their financial capability to bear potential losses

8. Execution Block: Signature sections for client and witness/company representative

Optional Sections

1. Derivative Products Risk Disclosure: Additional risk disclosures required for derivative products, used when the product involves derivatives

2. Margin Trading Risks: Specific risks related to margin trading, included when margin facilities are involved

3. Foreign Market Risk Disclosure: Additional risks for overseas investments, used for non-Hong Kong products

4. Complex Product Declaration: Special acknowledgements required for complex products as defined by SFC

5. Professional Investor Declaration: Additional declarations required if the client is classified as a professional investor

6. Digital Trading Risks: Specific risks related to online/digital trading platforms, included for electronic trading services

Suggested Schedules

1. Schedule 1: Product Risk Factors: Detailed list of specific risk factors associated with the particular investment product

2. Schedule 2: Fee Schedule: Detailed breakdown of applicable fees, charges, and commissions

3. Schedule 3: Regulatory Disclosures: Standard regulatory disclosures required by Hong Kong regulators

4. Appendix A: Glossary: Definitions of technical terms used in the risk acknowledgement form

5. Appendix B: Risk Rating Matrix: If applicable, explanation of the product risk rating system and methodology

Authors

Alex Denne

Head of Growth (Open Source Law) @ Genie AI | 3 x UCL-Certified in Contract Law & Drafting | 4+ Years Managing 1M+ Legal Documents | Serial Founder & Legal AI Author

Linkedin in social icon imageX social icon image
alex.den.21@genieai.co
Relevant Industries

Banking

Securities and Brokerage

Asset Management

Wealth Management

Insurance

Financial Advisory

Investment Banking

Private Equity

Hedge Funds

FinTech

Relevant Teams

Legal

Compliance

Risk Management

Client Services

Operations

Product Development

Sales

Wealth Management

Investment Advisory

Documentation

Quality Assurance

Customer Onboarding

Relevant Roles

Compliance Officer

Legal Counsel

Risk Manager

Relationship Manager

Investment Advisor

Financial Consultant

Operations Manager

Client Services Manager

Product Manager

Compliance Director

Head of Legal

Chief Risk Officer

Investment Director

Branch Manager

Sales Director

Industries
Securities and Futures Ordinance (Cap. 571): Primary legislation governing securities and futures markets in Hong Kong, including requirements for risk disclosure and investor protection
Code of Conduct for Persons Licensed by or Registered with the Securities and Futures Commission: Sets out detailed requirements for risk disclosure and client agreements, including specific requirements for risk acknowledgement
Personal Data (Privacy) Ordinance (Cap. 486): Governs the collection and handling of personal data, relevant for client information collected in risk acknowledgement forms
Contract Law of Hong Kong: Based on common law principles, governs the formation and enforcement of contracts, including requirements for valid acknowledgements and disclaimers
Unconscionable Contracts Ordinance (Cap. 458): Provides protection against unconscionable terms in contracts, relevant when drafting risk acknowledgements to ensure fairness
SFC Guidelines on Online Distribution and Advisory Platforms: Specific requirements for risk disclosure and acknowledgement in online platforms and digital distribution channels
Control of Exemption Clauses Ordinance (Cap. 71): Regulates the use of exemption clauses in contracts, crucial for drafting liability limitations in risk acknowledgements
Supply of Services (Implied Terms) Ordinance (Cap. 457): Relevant for understanding implied terms that cannot be excluded in service agreements and related risk acknowledgements
Teams

Employer, Employee, Start Date, Job Title, Department, Location, Probationary Period, Notice Period, Salary, Overtime, Vacation Pay, Statutory Holidays, Benefits, Bonus, Expenses, Working Hours, Rest Breaks,  Leaves of Absence, Confidentiality, Intellectual Property, Non-Solicitation, Non-Competition, Code of Conduct, Termination,  Severance Pay, Governing Law, Entire Agreemen

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