Client Risk Assessment Form

Client Risk Assessment Form for Philippines

Client Risk Assessment Form Template for Philippines

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What is a Client Risk Assessment Form?

The Client Risk Assessment Form is a mandatory document required by Philippine financial institutions to evaluate and document client risk profiles in compliance with local regulatory requirements. This form is essential for implementing Know Your Customer (KYC) procedures and conducting customer due diligence as required by the Anti-Money Laundering Act and BSP regulations. It must be completed before providing financial products or services to clients and updated periodically. The document helps financial institutions assess clients' risk tolerance, financial capacity, investment knowledge, and objectives while ensuring compliance with regulatory requirements for customer protection and anti-money laundering. It serves as a foundation for providing suitable financial recommendations and maintaining proper risk management practices in the Philippine financial services sector.

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

1. Client Personal Information: Basic identification details including full name, date of birth, nationality, tax identification number, and contact information

2. Employment and Business Information: Details of occupation, employer/business name, nature of work/business, and source of funds

3. Financial Profile: Current financial status including income range, assets, liabilities, and regular financial commitments

4. Investment Experience: Previous investment history, types of financial products used, and level of market understanding

5. Risk Tolerance Assessment: Series of questions to determine client's risk appetite and capacity to take financial risks

6. Investment Objectives: Client's financial goals, investment timeframe, and expected returns

7. Client Declaration: Client's confirmation of information accuracy and understanding of risk assessment results

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

1. Corporate Client Information: Additional section for corporate clients including ownership structure, authorized representatives, and business financial information

2. Insurance Needs Assessment: Additional questions for clients interested in insurance products

3. Foreign Investment Declaration: Required for clients interested in foreign investments, including FATCA compliance

4. High-Risk Client Enhanced Due Diligence: Additional due diligence questions for potentially high-risk clients as per AMLA requirements

5. Retirement Planning Assessment: Specific section for clients focusing on retirement planning

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

1. Risk Rating Matrix: Detailed explanation of how risk scores are calculated and interpreted

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

3. Required Documentation Checklist: List of supporting documents required based on client type and risk level

4. Privacy Policy Statement: Detailed information about how client data will be handled and protected

5. Risk Disclosure Statement: Comprehensive disclosure of potential risks associated with different investment types

Authors

Alex Denne

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

Relevant legal definitions

Clauses

Relevant Industries

Banking

Investment Services

Insurance

Securities Trading

Asset Management

Wealth Management

Financial Advisory

Credit Services

Microfinance

Relevant Teams

Compliance

Risk Management

Legal

Customer Service

Operations

Wealth Management

Retail Banking

Corporate Banking

Investment Advisory

Product Development

Internal Audit

Client Onboarding

Relevant Roles

Compliance Officer

Risk Manager

Financial Advisor

Relationship Manager

Branch Manager

Investment Consultant

Wealth Management Advisor

KYC Officer

AML Compliance Specialist

Customer Due Diligence Officer

Account Officer

Financial Products Specialist

Client Services Manager

Operations Manager

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Vendor Risk Assessment

A vendor risk assessment template aligned with Philippine regulations for evaluating operational, financial, and compliance risks of potential and existing vendors.

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Generate a Bespoke Document

Download a Standard Template

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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