Analysis of your knowledge, experience and understanding of the Financial Instruments Please write next to the relevant instruments whether you suppose the instrument is non-complex or complex Tick the instruments you traded Specify the volume you traded Specify the period you traded State the decrease of the capital that may arise due to trading in this financial instrument State the risks that the instrument may pose Interest rate risk, Liquidity risk, Issuer risk, Counterparty risk, Credit risk, Interest rate risk, Underlying asset risk, Market risk, Risk of Total Loss, Risk of loss exceeding acquisition cost, Any other risk SHARES that are traded on: Regulated market Equivalent third- country market MTF And that do not embed derivative Complex Non-Complex up to 5% up to 10% up to 20% up to 50% up to 100% Price risk Volatility risk Interest rate risk Liquidity risk Issuer risk Counterparty risk Credit risk Interest rate risk Underlying risk Market risk Risk of Total Loss Risk of loss exceeding acquisition cost Any other risk BONDS (or other forms of securitized debt) that are traded on: Regulated market Equivalent third- country market MTF And do not incorporate a structure which makes it difficult for the client to understand the risk involved Complex Non-Complex up to 5% up to 10% up to 20% up to 50% up to 100% Price risk Volatility risk Interest rate risk Liquidity risk Issuer risk Counterparty risk Credit risk Interest rate risk Underlying asset risk Market risk Risk of Total Loss Risk of loss exceeding acquisition cost Any other risk
Money-market instruments (treasury bills, certificates of deposit, commercial paper) that do not embed a derivative And that do not incorporate a structure which makes it difficult for the client to understand the risk involved Complex Non-Complex up to 5% up to 10% up to 20% up to 50% up to 100% Price risk Volatility risk Interest rate risk Liquidity risk Issuer risk Counterparty risk Credit risk Interest rate risk Underlying asset risk Market risk Risk of Total Loss Risk of loss exceeding acquisition cost Any other risk Shares or units in UCITS Complex Non-Complex up to 5% up to 10% up to 20% up to 50% up to 100% Price risk Volatility risk Interest rate risk Liquidity risk Issuer risk Counterparty risk Credit risk Interest rate risk Underlying asset risk Market risk Risk of Total Loss Risk of loss exceeding acquisition cost Any risk Structured deposits that do not incorporate a structure which makes it difficult for the client to understand the risk of return or the cost of exiting the product before term Complex Non-Complex up to 5% up to 10% up to 20% up to 50% up to 100% risk Volatility risk Interest rate risk Liquidity risk Issuer risk Counterparty risk Credit risk Interest rate risk Underlying asset risk Market risk Risk of Total Loss
BONDS (or other forms of securitized debt) that embed a derivative or that incorporate a structure which makes it difficult for the client to understand the risk involved Convertible bonds Complex Non-Complex up to 5% up to 10% up to 20% up to 50% up to 100% Price risk Volatility risk Interest rate risk Liquidity risk Issuer risk Counterparty risk Credit risk Interest rate risk Underlying asset risk Market risk Risk of Total Loss Risk of loss exceeding acquisition cost Any other risk Share options Complex Non-Complex up to 5% up to 10% up to 20% up to 50% up to 100% Price risk Volatility risk Interest rate risk Liquidity risk Issuer risk Counterparty risk Credit risk Interest rate risk Underlying asset risk Market risk Risk of Total Loss Risk of loss exceeding acquisition cost Any other risk Warrants Complex Non-Complex up to 5% up to 10% up to 20% up to 50% up to 100% Price risk Volatility risk Interest rate risk Liquidity risk Issuer risk Counterparty risk Credit risk Interest rate risk Underlying asset risk Market risk Risk of Total Loss
Risk of loss exceeding acquisition cost Any other risk Subordinated bonds Complex Non-Complex up to 5% up to 10% up to 20% up to 50% up to 100% Price risk Volatility risk Interest rate risk Liquidity risk Issuer risk Counterparty risk Credit risk Interest rate risk Underlying asset risk Market risk Risk of Loss Risk of loss exceeding acquisition cost Any risk Money-market instruments that embed a derivative and that incorporate a structure which makes it difficult for the client to understand the risk involved Complex Non-Complex up to 5% up to 10% up to 20% up to 50% up to 100% Price risk Volatility risk Interest rate risk Liquidity risk Issuer risk Counterparty risk Credit risk Interest rate risk Underlying asset risk Market risk Risk of Total Loss Risk of loss exceeding acquisition cost Any other risk OTC Bonds Complex Non-Complex up to 5% up to 10% up to 20% up to 50% up to 100% Price risk Volatility risk Interest rate risk Liquidity risk Issuer risk Counterparty risk Credit risk Interest rate risk
Counterparty risk Credit risk Interest rate risk Underlying asset risk Market risk Risk of Total Loss Risk of loss exceeding acquisition cost Any other risk Structured deposits that incorporate a structure which makes it difficult for the client to understand the risk of return or the cost of exiting the product before term Complex Non-Complex up to 5% up to 10% up to 20% up to 50% up to 100% Price risk Volatility risk Interest rate risk Liquidity risk Issuer risk Counterparty risk Credit risk Interest rate risk Underlying asset risk Market risk Risk of Loss Risk of loss exceeding acquisition cost Any other risk Options Complex Non-Complex up to 5% up to 10% up to 20% up to 50% up to 100% Price risk Volatility risk Interest rate risk Liquidity risk Issuer risk Counterparty risk Credit risk Interest rate risk Underlying asset risk Market risk Risk of Total Loss Risk of loss exceeding acquisition cost Any other risk Futures Complex up to 5% up to 10% risk Volatility risk
Non-Complex up to 20% up to 50% up to 100% Interest rate risk Liquidity risk Issuer risk Counterparty risk Credit risk Interest rate risk Underlying asset risk Market risk Risk of Total Loss Risk of loss exceeding acquisition cost Any risk Swaps Complex Non-Complex up to 5% up to 10% up to 20% up to 50% up to 100% Price risk Volatility risk Interest rate risk Liquidity risk Issuer risk Counterparty risk Credit risk Interest rate risk Underlying asset risk Market risk Risk of Total Loss Risk of loss exceeding acquisition cost Any other risk Forward rate agreements Complex Non-Complex up to 5% up to 10% up to 20% up to 50% up to 100% Price risk Volatility risk Interest rate risk Liquidity risk Issuer risk Counterparty risk Credit risk Interest rate risk Underlying asset risk Market risk Risk of Total Loss Risk of loss exceeding acquisition cost
Any other risk Any derivative contracts relating to securities Complex Non-Complex up to 5% up to 10% up to 20% up to 50% up to 100% Price risk Volatility risk Interest rate risk Liquidity risk Issuer risk Counterparty risk Credit risk Interest rate risk Underlying asset risk Market risk Risk of Total Loss Risk of loss exceeding acquisition cost Any other risk Interest rates or yields Complex Non-Complex up to 5% up to 10% up to 20% up to 50% up to 100% Price risk Volatility risk Interest rate risk Liquidity risk Issuer risk Counterparty risk Credit risk Interest rate risk Underlying asset risk Market risk Risk of Loss Risk of loss exceeding acquisition cost Any other risk Forward rate agreements Complex Non-Complex up to 5% up to 10% up to 20% up to 50% up to 100% Price risk Volatility risk Interest rate risk Liquidity risk Issuer risk Counterparty risk Credit risk Interest rate risk Underlying risk
Market risk Risk of Loss Risk of loss exceeding acquisition cost Any other risk Forward Agreement Complex Non-Complex up to 5% up to 10% up to 20% up to 50% up to 100% Price risk Volatility risk Interest rate risk Liquidity risk Issuer risk Counterparty risk Credit risk Interest rate risk Underlying asset risk Market risk Risk of Total Loss Risk of loss exceeding acquisition cost Any other risk CFD Complex Non-Complex up to 5% up to 10% up to 20% up to 50% up to 100% Price risk Volatility risk Interest rate risk Liquidity risk Issuer risk Counterparty risk Credit risk Interest rate risk Underlying asset risk Market risk Risk of Total Loss Risk of loss exceeding acquisition cost Any other risk FX / FX swaps Complex Non-Complex up to 5% up to 10% up to 20% up to 50% up to 100% risk Volatility risk Interest rate risk Liquidity risk Issuer risk Counterparty risk