QUESTIONNAIRE Dear Sir/ Madam, The purpose of this questionnaire is to seek your help in my summer training project which

is based on In estments and Securities! It will help me in defining your in estment goals by assessing attitudes toward risk and return and your future e"pectations from a bank regarding the same! (The questionnaire is divided into 3 sections. For all check boxes, double click on the desired box, the check box option box opens. Now click on the check option, the option is selected). #$%S&'() I'*&%M(TI&' +, 'ame -optional, . //////////////////////////// 0, (ge. 0+.12 1, 6ender. 1+.32 Male 3+.42 *emale 4+.52 52 or o er

3, 7our &ccupation. ////////////////////// 4, &rgani8ation -optional, . //////////////////////// 5, 9ontact details . ///////////////////////// :, $.mail ID. ////////////////////////// ;, 7our current annual take.home income is< =nder %s!+22,222 >etween %s!+22,222 and %s!022,222 >etween %s!022,222 and %s!422,222 >etween %s!422,222 and %s!+2,22,222 & er %s!+2,22,222

A. RISK TOLERANCE, PATTERN 1)

RETURN

OBJECTIVES

&

INVESTMENT

?ow good is your knowledge of finance@

IAm an e"pert in the field of finance IAm proficient in finance I donAt know much about finance but I keep myself updated about the de elopments )imited to knowing things like how the stock market is mo ing IAm totally 8ero as far as knowledge of finance is concerned 2) Bhen it comes to in esting in stock or bond mutual funds -or indi idual stocks and bonds,, I would describe myself as a/an!!! Cery ine"perienced in estor Somewhat ine"perienced in estor Somewhat e"perienced in estor $"perienced in estor Cery e"perienced in estor

3) Bhat is your primary objecti e for accumulating assets@ Bealth preser ation or emergency sa ings #urchase of a home $ducation funding %etirement planning/long term wealth accumulation 4) Do you in est through Systematic In estment #lanning -SI#,@ 7es 'o 5) I consider myself knowledgeable enough about the risks and potential returns associated with in esting in stocks and other types of stocks Strongly (gree #artially (gree Do not (gree Strongly Disagree

6) Bhat is the time hori8on you ha e to achie e your financial goal@ 2.4 years 5.+2 years ++.+3 years +4 years or longer 7) Bhat factor would you consider most important before choosing an in estment@ ?ow quickly I will be able to increase my wealth The opportunity for steady growth! The amount of monthly income the in estment will generate! The safety of my in estment principal! 8) =sing a scale of +D4 -+ being least important and 4 being most important, circle the number that signifies the importance of accomplishing the following< )east Important Most Important + 0 1 3 4 (ns! (! #reser e my net worth //// >! Stay ahead of future inflation //// 9! Increase my current in estment income //// D! *und college education //// $! %educe my current ta" burden //// *! (ccumulate future income/wealth accumulation //// 6! In est for retirement //// ) ?ow long do you e"pect to ha e your assets in ested before con erting to cash@ )ess than 1 years 1.4 years 4.: years :.+2 years +2.+4 years +4 E02 years or more 1!) (s an in estor, where would you place yourself on a scale of +.4 pre ious criteria@, (! Minimi8e losses and fluctuation as much as possible >! ( balanced mi" with some fluctuation and growth 9! Ma"imum accumulation of assets regardless of risk or fluctuation -as per the //// //// /////

11) >ased on your in estment goals, which of the following objecti es best describes your desired in estment approach@ -Brite one option below,

(! 9urrent Income -$mphasis on maintaining purchasing power while generating high current income, with the opportunity for liquidity and preser ation of capital!, >! 9apital #reser ation -$mphasis on capital preser ation and liquidity with moderate current income and limited capital appreciation!, 9! 9onser ati e 6rowth FIncome -$mphasis on conser ati e growth of capital and inflation protection with current/future income and liquidity, pro iding small potential for loss!, D! >alanced -$mphasis on inflation protection through intermediate term asset growth, with the opportunity for current/future income and liquidity!, $! 9apital 6rowth -$mphasis on capital growth and inflation protection, with the opportunity for current/future income and liquidity!, *! (ggressi e 6rowth -$mphasis on aggressi e capital appreciation with likelihood of high fluctuation in asset alue along with inflation protection and current/future income!, 6! Total $quity -$mphasis on ma"imum long.term capital appreciation with likelihood of high fluctuation in asset alue along with inflation protection!, (nswer. ////// 12) Do you e"pect to sa e a similar amount that you generally sa e per year in the ne"t few years@ 7es 'o 13) I can tolerate sharp ups and downs in the short.term alue of my in estments in return for potential long.term gains Strongly (gree (gree Disagree Strongly Disagree

14) Bhen the market goes down, I tend to sell some of my riskier in estments and put the money in safer in estments! I disagree I somewhat agree I agree

15) Bhich of the following in estments would you feel most comfortable with taking into consideration the risk return trade.off@ $quity securities of established companies go ernment bonds 6o ernment bonds Mi" of equity securities and

9ertificate of deposit

16, %isk tolerance is the relati e ability to accept measurable losses in the short.term in e"change for e"pected higher returns long.term! My tolerance for risk is< Cery high Moderately high ( erage Moderately low Cery low

B. KNO"LE#$E O% TREASUR& PRO#UCTS & RETAIL INVESTMENTS +, Do you ha e any knowledge of Treasury Department of a >ank@ 7es 'o 0, Do you in est in $quity/ Mutual *unds market/ stocks@ 7es 'o 1, If yes, do you in est/ trade online@ 7es 'o 3, If 7es, you in est through< -please tick one, &nline trading >rokers >oth

4, If you are dealing through brokers -on phone,, do you want to trade/ in est online@ 7es 'o

C. CUSTOMER E'PECTATIONS +, Do you want your bank to do Bealth Management and %isk Management for you@ 7es 'o 0, If yes, then your preferred In estment will be, -please tick one, 6o ernment securities >ank deposit $quity market Mutual fund &thers, please specify //////////////////////////// 1, Do you want your Ta" #lanning to be done by your >ank@ 7es 'o 3, If yes, then your preferred Ta" sa ing In estment &ptions, -rank as + being least and 3 being highest, ##* 'S9 $)SS -$quity )inked Sa ing Scheme, Ta" free >ank Deposits 4, Do you e"pect to get regular updates about arious In estment options from your >ank@ 7es 'o 5, Do you want personali8ed In estment ad ising at your branch/ city@ 7es 'o :, (t present, is your branch ad ising you on your In estment #ortfolio Management@ 7es 'o Thank you for your cooperation and aluable time! #lease send the filled up questionnaire to the mail id, from which it has been sent to you! G G G