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The risk disclosure statement is not inclusive and is not a comprehensive list of all risks of call (put) warrants and factors that may market performance. Before making an investment, the investor should not only carefully review the disk disclosure statement but also be alert to other factors that may cause an impact, and make well-thought financial plans and thorough risk assessment to avoid insufferable losses from hasty or ill-judged decisions on investment.
Note 1 : These are the particulars to be recorded in the risk disclosure statements ,the securities firm may include any other matters at its discretion as the case may be.
Note 2 : The principal shall sign the risk disclosure statement to undertake as below:
- it shall be solely responsible for the investment risks;
- it has received a copy of the risk disclosure statement in advance; and
- after being provided with explanations by the representative sent by the securities firm (the representative must also sign on the statement to take responsibility), it fully understands the risks of trading of call (put) warrants.
Note 3 : The risk disclosure statement is executed in duplicate, with one to be retained by the securities firm for filing purpose and the other by the investor for reference.
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