Survey Form on Quality of Financial Advisory Services ID number * Please input the unique ID that was emailed to you Understanding a client's needs Q1) Did the representative ask you questions in order to understand your financial situation, investment objective and risk appetite before recommending an investment product? * Yes No Cannot recall Other If you answered 'Other', please specify: Q2) Was there any instance during the financial advisory process where you felt that your representative had influenced you to provide an answer, or influenced you to modify your original answer to an answer that you are uncomfortable with, as it is inaccurate or does not represent your intention? * Yes No Cannot recall Other If yes, please explain how the representative influenced you: If you answered 'Other', please specify: Suitability of product recommendations Q3) Did you understand the representative's explanation as to why this investment product is suitable for you? * Yes No Cannot recall Other If you answered 'Other', please specify: Adequacy of information disclosure Q4) Did the representative inform you that you have purchased an investment product, and are you aware that: i) this investment product is subject to investment risk; AND ii) should you decide to cancel your investment during the 7-day cancellation period, you would be returned your invested capital (less any losses due to any drop in the price) and the sales charge, if any? * Yes No Cannot recall Other If you answered 'Other', please specify: Standards of professionalism and ethical conduct in relation to the provision of financial advisory services Q5) Were there any aspects of the sales process that you were disatisfied with? * Yes No If yes, please specify: Thank you!
