Knowledge & Experience Assessment

  • Did you take financial advice when arranging them, or did you arrange them yourself? (please tick as applicable)
    Do not holdHold, advice receivedHold, NO advice received
    1. Building society deposit/savings accounts
    2. Regular savings vehicles including endowments, friendly society bonds
    3. Lump sum investment bonds
    4. Unit trust/OEIC/non-cash ISA
    5. Regular and/or single premium personal pension contracts
    6. More complex pension arrangements such as SIPP and SSAS unsecured pension/income withdrawal
    7. Have you traded shares, gilts, corporate bonds
    8. Warrants, derivatives, commodities, spread betting
    9. Tax planning (such as VCT, EIS, business property relief)
    10. Inheritance tax planning (such as business property relief, whole life assurance, discounted gift trust)
    11. Structured investment products
    12. Non-mainstream pooled investments (NMPI– including UCIS).
    13. Investment portfolios such as advised / discretionary portfolios
  • Generally, what type of service are you most familiar with?
    YesNo
    In any past dealings, would you normally receive advice?
    Do you have any experience of requesting transactions on an execution only basis?
  • Please now complete the details below and submit the form.

    By submitting this form you confirm the details you have provided are accurate.