Client Profile Form

Ord Minnett Limited

ABN 86 002 733 048
AFSL 237121

EQ 1008 - 1215
Personal Financial Information of Office Use Only

each Investor Adviser Code/Name:

The Australian Securities and Investments Commission (ASIC)

Equity Account Number
which is the regulatory body that regulates us, enforces strict rules
as to how advice can be given.
These rules mean that before giving personal advice Ord Minnett Account Name/s
must examine details such as your current financial situation, your
personal and financial objectives, as well as your attitude to risk.
Accordingly we appreciate you assisting us in completing
this Client Profile Form entirely and accurately.
The information sought in this document will be regarded by us as Account Designation
strictly confidential. It will be used by your adviser to ensure that
any advice we provide is tailored to your specific needs and
objectives. Ord Minnett will protect the privacy of your information Account Address
in accordance with the Privacy Act and our own Privacy Policy.
Please note: If this form is not completed we can only provide you
with “general” advice, which is advice that does not address your
individual needs. Ord Minnett Limited accepts no liability for any If you are unsure about how to complete the Risk Profile,
advice given on the basis of inaccurate or incomplete information. you should ask your Ord Minnett Adviser for assistance.

Client Information
Investor/Director/Trustee 1 Investor/Director/Trustee 2 Investor/Director/Trustee 3

Name

Total Annual Income

✔ $0 - $50,000 ✔ $0 - $50,000 ✔ $0 - $50,000
(please tick) >$50,000 - $100,000 >$50,000 - $100,000 >$50,000 - $100,000

>$100,000 - $150,000 >$100,000 - $150,000 >$100,000 - $150,000

>$150,000 - $250,000 >$150,000 - $250,000 >$150,000 - $250,000

>$250,000 >$250,000 >$250,000

Date of Birth (dd/mm/yy)

Gender (M or F)
Marital Status
Dependants
Employer
Occupation

Assets and Liabilities for all Account Holders

Private Assets Comprising Principal Residence $
Holiday Home $
Other Private Assets eg Artwork $
Investment Assets Comprising Australian Shares $
Employee Shares $
International Shares $
Cash $
Fixed Interest $
Managed Fund $
Superannuation Fund $
Investment Property $
Other $
Total Assets $
Liabilities Comprising Home Mortgage $
Investment Loans $
Margin Lending Loans $
Other Liabilities $
Total Liabilities $

2 EQ 1008 - 1215
Investment Goals
Objectives Income
Please select the one category which Capital Growth
most closely reflects your current Capital Security/Capital Preservation
investment goal.
✔ Balanced Income & Growth
Speculative Trading
Investment Time Horizons ✔ Short Term (less than 2 years)
(please tick) Medium Term (2 - 5 years)
Long Term (greater than 5 years)

Investment Experience

Australian Shares Extensive Moderate Limited None

Exchange Traded Options Extensive Moderate Limited None
Managed Funds Extensive Moderate Limited None
International Shares Extensive Moderate Limited None
Fixed Interest Extensive Moderate Limited None
Margin Lending Extensive Moderate Limited None
Short Selling Extensive Moderate Limited None
Warrants Extensive Moderate Limited None
Property Extensive Moderate Limited None

Ownership Structure

In which legal structure do you wish to Individual Name

hold your investments?
Joint Names

✔ Company Name (non-trust)

Please choose one of the following. Superannuation Fund
Family Trust
Other Trust
Other

Client Interests

Which investments ✔ Australian Shares On which investment ✔ Australian Shares

interest you? topics are you seeking
Exchange Traded Options Exchange Traded Options
our advice?
(please tick) Managed Funds
Managed Funds
(please tick)
International Shares International Shares

Cash Superannuation

Cash Management Trust Financial Planning

Bank Bills Cash Management Trust

Fixed Interest Warrants

Warrants Structured Products

Property
Other (e.g. Hedge Funds)

Investment Amount

Please indicate an ✔ 0% to 20%

approximate percentage
of your total investment 20% to 40%
assets that you will 40% to 60%
initially be investing.
60% to 80%

80% to 100%

EQ 1008 - 1215 3
2. Determining Your Risk Profile
This questionnaire will help us to understand what type of investor you are and will enable us to recommend a personal asset allocation
tailored to your needs. Please complete these questions below by choosing an answer which most closely describes you.

When you drive your car, you basically want to get from A to B. Different people will choose different routes, different vehicles in which to
travel and will have different time frames. You can drive faster if you want, but the faster you go, the riskier it gets. Investing is the same. Some
people like to go fast and feel the thrill of short term profit making, other people are more conservative, preferring safe, reliable returns.

(please tick most appropriate box in each section) Applicant 1 Applicant 2 Applicant 3 Points

1) Which of the following best describes your purpose for investing?

a) An investment horizon longer than 5 years. You understand investment markets

and mainly invest for growth, to accumulate long term wealth. 50

b) You have surplus funds to invest and aim to accumulate long term wealth from
a balanced portfolio. ✔ 40

c) You have a lump sum (eg an inheritance) and are uncertain about the secure
investment alternatives available. ✔ 30

d) You are nearing retirement and want sufficient funds to enjoy your retirement. ✔ 20

e) Some specific objectives within the next five years, for which you want to
accumulate sufficient funds. 10

2) Which of the following best describes your current stage of life?

a) Single, with few financial burdens. You are keen to accumulate wealth for the future. 50

b) A couple without children. Preparing for the future by establishing a home.

A high purchase rate of consumer items. 50

c) Young family, with a home. You have a mortgage and maintain only small cash balances. 30

d) Mature family. You are in your peak earning years and have the mortgage under
control. Your partner works and children are growing up and require less
supervision/have left home. You are thinking about retirement. ✔ ✔ ✔ 40

e) Preparing for retirement. You probably own your home and have few financial
burdens; you want to ensure you can afford a comfortable retirement.
Interested in travel, recreation and self education. 20

f) Retired. You rely on existing funds and investments to maintain your lifestyle.
You may be receiving a pension. Keen to enjoy life and maintain your health. 10

3) In the light of current interest rates, what return to do you reasonably expect to
achieve from your investments?

a) A reasonable return, without losing any capital. 10

b) Current inflation rate plus 2-4% per annum. 20

c) Current inflation rate plus 5-7% per annum. 30

d) Current inflation rate plus 8-12% per annum. 40

e) Greater than d). ✔ ✔ ✔ 50

4) How familiar are you with investment markets?

a) Experienced with all investment sectors and understand the various factors
which influence performance. 50

b) Understand that markets fluctuate and that different market sectors offer different
income, growth and taxation opportunities. ✔ ✔ ✔ 40

c) Have enough experience to understand the importance of diversification. 30

d) Not very familiar with investment markets. 20

e) Very little understanding or interest. 10

4 EQ 1008 - 1215
(please tick most appropriate box in each section) Applicant 1 Applicant 2 Applicant 3 Points

5) Would you ever consider using derivative products such as Options

and Warrants as part of your investment strategy?

a) I would consider using derivatives as a defensive strategy and as a means of

generating additional income for my portfolio. 30

b) I would consider using derivatives as part of a defensive strategy only. 20

c) I have a good understanding of derivative products and I am interested in

trading these for profit. 50

d) Not very familiar with derivatives. ✔ ✔ ✔ 10

e) Never - I consider derivatives to be too risky. 0

6) How long would you expect most of your assets to be invested before
you would need to access them (assuming you have made plans to meet
short term financial objectives and to handle emergencies)?

a) Less than 2 years. ✔ ✔ ✔ 10

b) Between 2 and 3 years. 20

c) Between 3 and 5 years. 30

d) Between 5 and 7 years. 40

e) Longer than 7 years. 50

7) What would your reaction be if six months after placing your investment,
you discover that, in line with what is happening in the financial markets
generally, your portfolio has decreased in value by 30%?

a) Horror. Security of your capital is critical and you did not intend to take such risks. ✔ ✔ ✔ 10

b) You would cut your losses and transfer your funds into more secure
investment sectors. 20

c) You would be concerned, but would wait to see if the investments improve. 30

d) This was a calculated risk and you would leave the investments in place, expecting
performance to improve. 40

e) You would invest more funds to lower your average investment price, expecting
future growth. 50

8) If you didn’t need your capital for more than 5 years, how long would you
be prepared to see your investment performing poorly before you cashed it in?

a) You would cash it in immediately if there were any loss in value. 0

b) Up to 3 months. ✔ ✔ ✔ 20

c) Up to 6 months. 30

d) Up to 1 year. 40

e) Up to 2 years. 50

9) How stable is your current and future income from sources such as salary,
government pensions, annuities or other similar income sources?

a) Very Stable. 50

b) Stable. ✔ ✔ ✔ 40

c) Somewhat stable. 30

d) Unstable. 20

e) Very unstable. 10

EQ 1008 - 1215 5
(please tick most appropriate box in each section) Applicant 1 Applicant 2 Applicant 3 Points

10) Do you have any separate savings set aside for major expenses?
This may include things like education, home mortgage payments,
home repairs and retirement?

a) I have no upcoming expenses other than my retirement living expenses. 20

b) Yes, I do have separate savings to meet my expenses. ✔ ✔ ✔ 50

c) I have a small amount of savings and a large credit card limit on

my credit card for emergencies. 40

d) I have no savings, but can use my credit card for emergencies. 30

e) No, I do not have separate savings to meet major expenses. 10

Total Investor Profile Score

Now you can match your Investor Profile score to the Investor Profile summaries that follow.

Investor Profile Score Card Total

Points
Defensive

You are a Defensive investor. Risk must be very low and you are prepared to accept lower returns to protect capital.
The negative effects of tax and inflation will not concern you, provided your initial investment is protected. 0 - 120

Moderate

You are a Moderate investor seeking better than basic returns, but risk must be low. Typically, you are an older
investor seeking to protect the wealth which you have accumulated, and you prefer to consider less aggressive
growth investments. 121 - 230

Balanced

You are a Balanced investor who wants a balanced portfolio to work towards medium to long term financial goals.
You require an investment strategy, which will cope with the effects of tax and inflation. Calculated risks will be
acceptable to you to achieve good returns. 231 - 340

Growth

You are a Growth investor, probably earning sufficient income to invest most funds for capital growth. Prepared
to accept higher volatility and moderate risks, your primary concern is to accumulate assets over the medium to
long term. You require a balanced portfolio, but more aggressive investments may be included. 341 - 460

High Growth

You are a High Growth investor prepared to compromise portfolio balance to pursue potentially greater long
term returns. Your investment choices are diverse, but carry with them a higher level of risk. Security of capital
is secondary to the potential for shorter term or above average wealth accumulation. 461 - 500

Signatures
By Signing below, I/we acknowledge that the information provided herein is accurate, to the best of my/our knowledge.

Investor 1/Director/Sole Director Investor 2/Director/Company Secretary Investor 3/Director/Company Secretary

(Please circle) (Please circle) (Please circle)

Signed by (full name) Signed by (full name) Signed by (full name)

Date Date Date

6 EQ 1008 - 1215
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Ord Minnett Offices
Sydney (Head Office) Caloundra, Sunshine Coast Mackay
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255 George Street Caloundra QLD 4551 Mackay QLD 4740
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Tel: (02) 8216 6300 Fax: (07) 5491 3222 Fax: (07) 4969 4800
Fax: (02) 8216 6311
ords.com.au Canberra Melbourne
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Adelaide SA 5000
Tel: (08) 8203 2500 Coffs Harbour Newcastle
Fax: (08) 8203 2525
Suite 4, 21 Park Avenue 426 King Street
Coffs Harbour NSW 2450 Newcastle NSW 2300
Brisbane
Tel: (02) 6652 7900 Tel: (02) 4910 2400
Level 31 Fax: (02) 6652 5716 Fax: (02) 4910 2424
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Brisbane QLD 4000 Gold Coast Hong Kong (International)
Tel: (07) 3214 5555
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Fax: (07) 3214 5550
Surfers Paradise QLD 4217 11 Duddell Street
Tel: (07) 5557 3333 Central, Hong Kong
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Fax: (07) 5557 3377 Tel: +852 2813 7212
1/99 Burnett Street Fax: +852 2813 7212
Buderim QLD 4556 ords.com.hk
Tel: (07) 5430 4444
Fax: (07) 5430 4400