Corporate Professional Investor definition

Corporate Professional Investor means a trust corporation, corporation or partnership falling under sections 3(a), (c) and (d) of the Professional Investor Rules.
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Corporate Professional Investor means a person which falls under paragraph (j) of the definition of “professional investor” in section 1 of Part 1 of Schedule 1 to the SFO and sections 3(a) and 4, sections 3(c) and 6 or section 3(d) and 7 of the Professional Investor Rules, and that falls within the term “Corporate Professional Investors” as referred to in paragraph 15.2 of the Code of Conduct.
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Corporate Professional Investor means a person that is a trust corporation, corporation or partnership falling under sections 4, 6 or 7 of the Securities and Futures (Professional Investor) Rules (Chapter 571D of the Laws of Hong Kong);
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Examples of Corporate Professional Investor 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.

  • 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.

  • 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).

  • This would better reflect Article 3(1) and (2) of Convention No. 138.United States.

  • I/We hereby consent to being treated as an Individual Professional Investor or a Corporate Professional Investor (inexperienced) (as applicable) and acknowledge and confirm that an intermediary in Hong Kong has explained both the consequences of being treated as such and the right to withdraw from such treatment (in respect of any or all products and markets that the Fund may be exposed to) at any time.

  • I declare that I have explained the contents of this document and the risks and consequences of consenting to being treated as a Corporate Professional Investor in a language which the client(s) fully understands and have invited the client(s) to ask questions and take independent advice if the client(s) thinks fit.

  • I have also informed the client of the right to withdraw from being treated as a Corporate Professional Investor.

  • Based on my discussion with the client(s) during the Know Your Client process and based on my best knowledge and effort, I confirm that the client(s) satisfies the requirements to be treated as a Corporate Professional Investor falling under the PI Rules and the Code.


More Definitions of Corporate Professional Investor

Corporate Professional Investor means a trust corporation, corporation or partnership falling under sections 4, 6 and 7 of the Securities and Futures (Professional Investor) Rules (Cap.571D) (Professional Investor Rules).
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Related to Corporate Professional Investor

  • Professional Investor means an investor who possesses the experience, knowledge and expertise to make its own investment decisions and properly assess the risks that it incurs. Professional investors include, among others, entities which are required to be authorised or regulated to operate in the financial markets, large undertakings, and other institutional investors whose main activity is to invest in financial instruments;

  • Investment Manager or “Manager” shall mean a party furnishing services to the Trust pursuant to any contract described in Section 4.8 hereof;

  • Investment Advisor means, in relation to a Portfolio, the investment manager or investment advisor of the Portfolio.

  • Sub-Adviser means an adviser to

  • Independent Financial Advisor means an accounting, appraisal, investment banking firm or consultant to Persons engaged in Similar Businesses of nationally recognized standing that is, in the good faith judgment of the Issuer, qualified to perform the task for which it has been engaged.

  • Investment Adviser or "Adviser" means a party furnishing services to the Trust pursuant to any contract described in Article IV, Section 7(a) hereof;

  • Professional geologist means a person who is a graduate of an institution of higher education which is accredited by a regional or national accrediting agency, with a minimum of thirty semester (forty-five quarter) hours of undergraduate or graduate work in a field of geology and whose post-baccalaureate training has been in the field of geology with a specific record of an additional five years of geological experience to include no more than two years of graduate work. 23-41-208, C.R.S. and 34-1-201, C.R.S.