Examples of Institutional Professional Investors in a sentence
The SFC does not propose any changes to the exemptions applicable to Institutional Professional Investors.
The entities specifically identified under the SFO as Professional Investors22 include the likes of banks, licensed corporations and insurance companies (referred to as Institutional Professional Investors in this Consultation Paper).
Institutional Professional Investors include financial institutions (such as licensed corporations, banks and insurance companies) whose day-to-day business involves substantial dealings in the financial markets.
For example, while it is necessary for an intermediary to enter into written agreements in compliance with paragraph 6 of the Code with its retail investor clients, Institutional Professional Investors invariably negotiate individual client agreements with intermediaries and the contents of which may not meet the minimum content requirements under paragraph 6 of the Code.
Intermediaries dealing with Institutional Professional Investors are automatically exempt from complying with all the Code requirements set out in paragraph 48 above.
Please review the Long Island University Undergraduate/Graduate Bulletin for further information.
For Institutional Professional Investors only—not for distribution to retail clients.
Individual start times will be determined based on the skipper and crew listed on the registration form.
It should however be noted that this requirement does not apply if intermediaries are dealing with Institutional Professional Investors and Professional Investors who have been assessed under the Knowledge and Experience Assessment (and have complied with incidental procedures) as set out in paragraph 15 of the Code.
These minimum requirements do not apply to Institutional Professional Investors or Corporate Professional Investors as defined in paragraph 15.2 of the Code of Conduct and in the case of Corporate Professional Investors, the Discretionary Account Manager has also complied with paragraphs 15.3A and 15.3B of the Code of Conduct.