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Client Risk Assessment Questionnaire

Client Risk Assessment Questionnaire Template for Malaysia

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Key Requirements PROMPT example:

Client Risk Assessment Questionnaire

"I need a Client Risk Assessment Questionnaire for our new Islamic banking division launching in January 2025, compliant with Malaysian regulations and incorporating Shariah-compliant investment options."

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Document background
The Client Risk Assessment Questionnaire serves as a crucial tool for financial institutions operating in Malaysia to evaluate and document client risk profiles, investment preferences, and suitability for various financial products. This document is mandated by Malaysian regulatory requirements, including Bank Negara Malaysia guidelines and the Anti-Money Laundering, Anti-Terrorism Financing and Proceeds of Unlawful Activities Act 2001. It helps institutions fulfill their regulatory obligations while gathering comprehensive information about clients' financial circumstances, risk tolerance, and investment objectives. The questionnaire typically incorporates elements of Know Your Customer (KYC), Anti-Money Laundering (AML) compliance, and suitability assessment, making it essential for both regulatory compliance and effective client relationship management.
Suggested Sections

1. Client Information: Basic personal/corporate information including name, contact details, nationality/registration details, and tax residency status

2. Employment and Income Details: Information about employment status, source of wealth, annual income, and other income sources

3. Investment Experience: Client's experience with various investment products and financial markets

4. Investment Objectives: Client's financial goals, investment timeline, and expected returns

5. Risk Tolerance Assessment: Questions to evaluate client's attitude towards financial risk and capacity to bear losses

6. Financial Position: Current assets, liabilities, regular financial commitments, and liquidity needs

7. Declaration and Consent: Client's declaration of information accuracy and consent for data processing under PDPA 2010

Optional Sections

1. Politically Exposed Person (PEP) Assessment: Additional questions for determining PEP status, required when dealing with high-risk clients or when mandated by internal compliance policies

2. Islamic Investment Preferences: Section for Shariah-compliant investment preferences, included when offering Islamic financial products

3. Corporate Structure Details: Additional section for corporate clients, including ownership structure and beneficial owners

4. Foreign Account Tax Compliance: FATCA/CRS related questions, required for clients with international tax obligations

5. Professional Investor Status: Additional questions to determine professional investor status under Malaysian securities laws

Suggested Schedules

1. Risk Profile Categories: Detailed descriptions of different risk profile categories and their characteristics

2. Product Risk Classification: Classification of various financial products according to their risk levels

3. Scoring Methodology: Explanation of how responses are scored and evaluated to determine risk profile

4. Privacy Notice: Detailed privacy notice compliant with PDPA 2010 requirements

5. Terms and Conditions: General terms and conditions including information usage, updates, and regulatory compliance

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 legal definitions
Account
Authorised Person
Bank Negara Malaysia
Beneficial Owner
Business Day
Capital Market Products
Client
Client Risk Profile
Cooling Off Period
Financial Institution
High Risk Client
Identity Card
Investment Experience
Investment Horizon
Investment Objective
Investment Products
Islamic Financial Products
Licensed Institution
Net Worth
Personal Data
Politically Exposed Person
Professional Investor
Qualifying Criteria
Risk Profile Score
Risk Tolerance
Securities Commission
Source of Wealth
Suitability Assessment
Tax Residency
Transaction
Relevant Industries

Banking

Financial Services

Wealth Management

Investment Services

Insurance

Islamic Banking

Asset Management

Securities Trading

Financial Advisory

Fund Management

Private Banking

Relevant Teams

Compliance

Risk Management

Legal

Wealth Management

Client Onboarding

Investment Advisory

Private Banking

Operations

Internal Audit

Customer Due Diligence

Portfolio Management

Product Development

Relevant Roles

Compliance Officer

Risk Manager

Investment Advisor

Wealth Management Consultant

Financial Planner

Relationship Manager

Chief Risk Officer

AML Compliance Manager

KYC Analyst

Client Onboarding Specialist

Investment Consultant

Portfolio Manager

Private Banking Officer

Financial Services Representative

Legal Counsel

Industries
Anti-Money Laundering, Anti-Terrorism Financing and Proceeds of Unlawful Activities Act 2001 (AMLATFPUAA): This is the primary legislation governing AML/CFT requirements in Malaysia, requiring proper customer due diligence and risk assessment procedures.
Capital Markets and Services Act 2007: Regulates capital market activities and requires proper client risk profiling for investment products and services.
Bank Negara Malaysia Guidelines on Anti-Money Laundering and Counter Financing of Terrorism (AML/CFT): Central bank guidelines specifying requirements for customer due diligence, risk profiling, and ongoing monitoring.
Personal Data Protection Act 2010: Governs the collection, use, and handling of personal data, requiring proper consent and data protection measures in questionnaires.
Financial Services Act 2013: Provides the regulatory framework for financial institutions and includes requirements for risk management and customer assessment.
Securities Commission Malaysia Guidelines on Sales Practices of Unlisted Capital Market Products: Specifies requirements for customer profiling and suitability assessment when offering investment products.
Islamic Financial Services Act 2013: Parallel legislation to FSA 2013 for Islamic financial institutions, including requirements for customer risk assessment.
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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