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Risk Disclosure Statement

Investment / Securities / Brokerage Account

Risk disclosure statement in relation to investment and trading of securities, futures and options.

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Document Description

This is a Risk disclosure statement in relation to the investment and trading of securities, futures and options.

The following risk disclosures are included in the document and should be given where they apply to the expected or actual activity of the client:

  • Risk of securities trading
  • Risk of trading futures and options
  • Risk of lending or depositing your securities with third parties
  • Risk of providing an authority to hold mail or to direct mail to third parties
  • Risk of margin trading 
  • Additional risks common to futures and options

How to use this Document?

This document can be used as a template for a Risk disclosure statement in relation to the investment and trading of securities, futures and options.

You may customise the template by including details such as whether the client is an individual or corporate account?

 

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