Examples of Corporate Professional in a sentence
A licensed or registered person should undertake a new assessment where a Corporate Professional Investor has ceased to trade in the relevant product or market for more than 2 years.
Senior executive roles are defined as Corporate Executive Officers and Corporate Professional Officers of Recruit Holdings and Media & Solutions Strategic Business Unit (“SBU”), and CEOs of the Company’s major subsidiaries and heads of key functions in the HR Technology and Staffing SBU.
If we are an Institutional Professional Investor or a Corporate Professional Investor, we confirm that our decision is made without relying upon any communication (written or oral) of the Bank as investment advice or recommendation to place the investment.
The Customer agrees that he will make his own judgments and decisions with respect to each Instruction/Transaction or investment, and if the Customer is an Institutional Professional Investor or a Corporate Professional Investor, he agrees that such judgments and decisions are made independently and without reliance on the Bank.
If a licensed or registered person has complied with paragraph 15.3B, it is exempt from the provisions set out in paragraph 15.5 and may also be exempt from the provisions set out in paragraph 15.4 if it is reasonably satisfied that the Corporate Professional Investor meets the three criteria set out in paragraph 15.3A(b) in relation to the relevant products and markets.
Given that the vast majority of mis-selling cases dealt with by the SFC involve individual investors, the SFC is of the view that, in general Individual Professional Investors merit greater protection than Corporate Professional Investors.
Should licensed or registered persons also choose to be exempt from the provisions set out in paragraph 15.4, they should observe the assessment requirements and procedures set out in paragraph 15.3.For those Corporate Professional Investors that cannot meet paragraph 15.3 in any aspect, all regulatory obligations should be observed by the licensed or registered persons without any exemption unless stated otherwise.
The proposed changes to the Knowledge and Experience Assessment for Corporate Professional Investors may affect the class of corporations that can be treated as Corporate Professional Investors by intermediaries.
I/We understand and acknowledge that, pursuant to the Code of Conduct and as a result of my/our being classified as an Individual Professional Investor or a Corporate Professional Investor (inexperienced), an intermediary in Hong Kong is not required to provide me/us with information about its business and the identity and status of its employees and others acting on its behalf with whom I/we may have contact.
Investors (inexperienced): If I/we am/are an Individual Professional Investor or a Corporate Professional Investor (inexperienced), I/we acknowledge that I/we will be treated as Individual Professional Investor or a Corporate Professional Investor (inexperienced) (as applicable) in accordance with paragraph 15 of the Code of Conduct in respect of all products and markets that the Fund may be exposed to (as set out in the Private Placement Memorandum).