The Security Acknowledgement Form is a critical component of securities transactions in Malaysia, designed to protect both financial institutions and investors by documenting the investor's understanding of investment risks and features. This document is required when investors purchase or subscribe to various investment products, particularly those that carry significant risks or complex features. The form must comply with Malaysian regulatory requirements, including those set forth by the Securities Commission Malaysia and the Capital Markets and Services Act 2007. It typically includes detailed risk disclosures, investor confirmations, and representations that help demonstrate the financial institution's compliance with its duty to inform and the investor's acceptance of the investment's characteristics. The Security Acknowledgement Form serves as evidence of proper disclosure and informed consent in the event of future disputes or regulatory reviews.
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1. Investor Information: Details of the investor including full name, ID/passport number, contact information, and investor type (individual/institutional)
2. Product Information: Identification and basic details of the security or investment product being acknowledged
3. Risk Disclosure Statement: Comprehensive disclosure of all material risks associated with the investment product
4. Investor Representations: Statements confirming the investor's status, sophistication level, and understanding of the investment
5. Acknowledgment Statements: Specific points that the investor acknowledges regarding the investment, including understanding of risks, receipt of relevant documents, and independent decision-making
6. Declaration: Formal declaration of the truthfulness of information provided and understanding of all terms
7. Execution: Signature section including date, witness requirements, and advisor/company representative details
1. Suitability Assessment Reference: Include when the acknowledgment relates to a product requiring a suitability assessment under SC guidelines
2. Language Election: Required when the document is offered in multiple languages, allowing investor to choose preferred language
3. Additional Risk Acknowledgments: Specific to complex products or derivatives requiring extra risk warnings
4. Cooling-off Rights: Include for retail investors when product comes with cooling-off rights under Malaysian regulations
5. Foreign Investment Declaration: Required when the security involves foreign markets or currency risks
1. Schedule A - Product Term Sheet: Summary of key terms and features of the security or investment product
2. Schedule B - Risk Factors: Detailed explanation of specific risks associated with the product
3. Schedule C - Fees and Charges: Comprehensive breakdown of all applicable fees, charges, and commissions
4. Appendix 1 - Investor Profile Form: Additional form capturing investor's investment experience and financial background
5. Appendix 2 - Supporting Documents Checklist: List of required supporting documents based on investor type and product category
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