Frequently Asked Questions
Customer Account Review (CAR) & Customer Knowledge Assessment (CKA) Form
For all individuals who are not Accredited Investor or Expert Investor.
In view of the requirements introduced by MAS for retail customers who wish to transact Specified Investment Products (SIPs), Phillip Securities Pte Ltd (PSPL) requires customers to update their profile to assess if they possess the relevant knowledge or experience to understand the risks of SIPs. These requirements are introduced to protect investors' interest. For your information, SIPs refer to investment products that may be more complex in nature and/or have features and risks that may be more difficult to understand. SIPs generally include but are not limited to Options, Listed Futures, Structured Warrants, Unit Trusts, Contracts for Differences (CFDs), Equity Linked Notes, Exchange Traded Funds (ETFs)* and Overseas Listed Investment Products*.
To ensure that retail customers have the relevant knowledge or experience to understand the risks and features of the SIPs before transacting, PSPL will conduct the following assessment(s) for retail customers:
- Customer Account Review ("CAR") for listed SIPs, and/or
- Customer Knowledge Assessment ("CKA") for unlisted SIPs.
Other faq that might help you
- Accredited Investor Application – Corporate
- Accredited Investor Application – Individual
- Accredited Investor Application – Joint Account
- Accredited Investor Opt-out Form – Individual / Joint Account / Corporate
- Application and Termination Form for EPS
- Application Form for EPS Closure and GIRO Linkage
- Application Form for GIRO
- CDP Share Transfer Form for Existing Phillip Securities Client
- CFD Application form for Existing Phillip Securities Client
- Conversion from Cash Trading to Cash Management Account Application Form (PDF)
- Conversion from Unit Trust Investment Account (09*****) to UT- Phillip Cash Management Account Application Form (PDF)
- Customer Account Review (CAR) & Customer Knowledge Assessment (CKA) Form
- Securities and Bond Transfer
- Opt-out E-Statement form
- POEMS Application Form
- Risk Warning Statement (RWS) Form
- SBL Application Form for Existing Phillip Securities Client
- Termination Form for GIRO Linkage
- UK Share Deposit – CREST Form
- Updating of Personal Particulars
- W-8 / W-9 Form
- Self Certification on Tax Residency Status
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