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Client Risk Assessment Questionnaire

Client Risk Assessment Questionnaire Template for Switzerland

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Key Requirements PROMPT example:

Client Risk Assessment Questionnaire

"I need a Client Risk Assessment Questionnaire for a Swiss private bank focusing on high-net-worth international clients, with enhanced due diligence sections and specific emphasis on cross-border investment restrictions."

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Document background
The Client Risk Assessment Questionnaire is a mandatory document required under Swiss financial services regulations, particularly the Financial Services Act (FinSA) and Anti-Money Laundering Act (AMLA). It must be completed when establishing new client relationships or updating existing client profiles within Swiss financial institutions. The questionnaire collects essential information about clients' financial knowledge, experience, objectives, and risk tolerance, enabling financial institutions to fulfill their regulatory obligations regarding client classification, suitability assessment, and risk profiling. This document forms the foundation for providing appropriate financial services and ensuring compliance with Swiss regulatory requirements for client protection and risk management. It should be regularly reviewed and updated to reflect any changes in the client's circumstances or regulatory requirements.
Suggested Sections

1. Introduction and Purpose: Explains the purpose of the questionnaire and regulatory requirements

2. Personal Information: Basic client identification details including name, contact information, and tax residence

3. Client Classification: Assessment of client category (retail, professional, or institutional) as per FinSA requirements

4. Financial Situation: Details of income, assets, liabilities, and regular financial commitments

5. Investment Knowledge and Experience: Assessment of client's understanding of financial instruments and previous investment experience

6. Investment Objectives: Client's investment goals, time horizon, and purpose of investment

7. Risk Tolerance Assessment: Evaluation of client's psychological and financial capacity to bear investment risks

8. Source of Funds: Information about the origin of investment funds (AMLA compliance)

9. Declaration and Consent: Client's confirmation of information accuracy and data protection consent

Optional Sections

1. Professional Background: For clients claiming professional status based on their occupation or experience

2. Portfolio Holdings: Current investment portfolio details, used when providing ongoing investment advice

3. Sustainability Preferences: Client's ESG investment preferences and sustainability goals

4. Foreign Account Details: Required for clients with international banking relationships

5. Power of Attorney: When client delegates investment decisions or account access to third parties

Suggested Schedules

1. Risk Profile Summary: Detailed breakdown of the client's risk profile based on questionnaire responses

2. Investment Knowledge Classification Guide: Explanation of how investment knowledge levels are determined

3. Risk Category Descriptions: Detailed explanations of different risk categories and their implications

4. Financial Instruments Guide: Overview of various financial instruments and their risk levels

5. Privacy Notice: Detailed information about data protection and processing practices

6. Glossary of Terms: Definitions of technical terms used in the questionnaire

Authors

Alex Denne

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

alex.den.21@genieai.co
Relevant legal definitions













































Clauses




























Relevant Industries

Financial Services

Banking

Wealth Management

Asset Management

Investment Advisory

Insurance

Family Offices

Trust Services

Corporate Services

FinTech

Relevant Teams

Compliance

Risk Management

Legal

Wealth Management

Client Relations

Operations

Investment Advisory

Client Onboarding

Product Development

KYC/AML

Portfolio Management

Relevant Roles

Compliance Officer

Risk Manager

Investment Advisor

Wealth Manager

Client Relationship Manager

Legal Counsel

Portfolio Manager

Financial Advisor

KYC Specialist

AML Officer

Product Manager

Operations Manager

Client Onboarding Specialist

Investment Consultant

Industries







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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