Forms and Templates
Published Date: 08 October 2018

Form 14 - Risk Disclosure Statement Required to be Furnished and Kept by the Holder of a Capital Markets Services Licence for Fund Management relating to Management of Portfolio of Futures and Certain OTC Derivatives Contracts

Risk disclosure statement to be provided by  licensed fund management companies (other than venture capital fund managers) to prospective retail customers, prior to soliciting or entering into an agreement with customers to manage or guide their trading accounts  by means of a systematic programme that recommends specific transactions, to trade in:
(i) Futures contracts;
(ii) Spot foreign exchange contracts for the purposes of leveraged foreign exchange trading; or
(iii) Over-the-counter derivatives contracts of which an underlying thing is a currency or currency index.

This requirement does not apply to collective investment schemes.