| 1 |
This Risk Disclosure Statement is adopted pursuant to Article 3, paragraph 4 of the Taipei Exchange ("TPEx") Rules Governing Trading of Exchange-Traded Fund Beneficial Certificates and Point 10, paragraph 3 of the TPEx Directions for Creation and Redemption of Exchange Traded Fund Beneficial Certificates.
Regarding trading and creation / redemption of beneficial certificates for "XXXXXXXX Exchange Traded Securities Investment Trust Funds" (hereinafter "XXXXX"; Code: XXXXXX):
When trading, creating, or redeeming beneficial certificates, a customer may gain significant profits or suffer significant losses in a short period of time. Customers are advised to carefully consider their own financial capability and economic position to determine if this type of products is suitable for them before opening an account. Customers are advised to understand the potential risks in investing in these products and familiarize themselves with the following information before deciding to start trading so as to protect their rights and interests:
Given that XXXXX beneficial certificates are tracking indexes of special characteristics, investors are advised to carefully review the risk information disclosed in the prospectus and on the website of the issuer to protect their own rights and interests.
The information provided in this Risk Disclosure Statement is a very short summary and is not exhaustive. It does not provide detailed descriptions of all investment risks and circumstances that may influence market trends. Before starting to trade, in addition to carefully reviewing this Risk Disclosure Statement, customers are advised to deliberate on other possible factors and variants to make an informed investment decision and to evaluate all known risks to protect themselves from intolerable losses from trading in beneficial certificates.
I have received and carefully reviewed this Risk Disclosure Statement and have been provided with explanations by the representative sent by you before I place my order to trade, create, or redeem beneficial certificates for the abovementioned exchange traded funds (ETFs). I fully understand the above information and risks in investing and trading in the ETF beneficial certificates. I further acknowledge that under certain circumstances, it is possible that the calculation of the net asset value may not be updated in a timely manner and the trading price may have a discount or premium. I hereby undertake to solely bear these investment risks.
To: XXX Securities Co., Ltd.
Customer: (Signature and/or Seal)
Representative: (Signature and/or Seal)
National ID Number or Tax Code Number of Tax Withholding Entity:
Securities Firm's Representative providing the explanations: (Signature and/or Seal)
Date: [dd-mm-yyyy]
(This Risk Disclosure Statement is in duplicate, with one copy to be kept by the securities firm for archival purposes, and the other by the customer.)
|