Investment Policy Statement : Client Profile

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Investment Policy Statement Client Profile ➢ Client Name: Hayey Wickett ➢ Birth of Date April 9th, 1970 ➢ Address: 111 Oxford Street West ➢ Province: Ontario ➢ Postal Code: Y7Y 8N8 ➢ Phone Number: 1-519-697-1111 ➢ Gross Annual Income $50,000 ➢ Net Worth $550,000 ➢ Retirement Age 65 ➢ Risk Tolerance Medium to high ➢ Financial Planner: Guochao Li ➢ Address: 405 Sugar Crack Street London ➢ Province: Ontario ➢ Postal Code: C7T 9X9 ➢ Phone: 1-519-666-11111 Investment Objectives The primary objective of the portfolio investment is to provide you with an effective investment strategy, and to build a confidence relationship with you. Therefore, your principal is safe while you are earning interest on the capital that…show more content…
The longer the period and higher the return you can earn. Liquidity Your requirement is not much focus on liquidity which means that you don 't really need to access fund from your portfolio. Therefore, the suitable portfolio for you will be mainly invested into Equity and Fixed-income. Tax Policy One of the primary goals about your portfolio investment is to minimize your tax payable. There are interest income and capital gain will generate taxes during the portfolio investment. Legal/Regulatory Any investment activities that contravene by Act, By-law, Regulation, Rule or the Criminal Code will be considered a constraint. Unique Many people have their unique requirement about their investment portfolio. For example, they may like to invest into a specific mutual fund from a specific company because they believe that the fund will go up in the long run. There are no unique questions from you. List of Acceptable/Prohibited Investments Almost any type of investment is permissible inside the portfolio including stocks, bonds, mutual funds, annuities, unit investment trusts(UITs), and exchange-traded funds(ETFs). Even qualified plans are allowed to hold most any type of security as well, although mutual funds, annuities and company stock tend to be the three primary vehicles used in these plans for various reasons. Prohibited Investments: Any types of life insurance Types f Derivative Positions
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