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 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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Examples of Corporate Professional Investor in a sentence

  • 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.

  • No other provision of this agreement or any other document ZUNDIAO may ask the Client to sign and no statement ZUNDIAO may ask the Client to make derogates from this clause, unless the Client is a "Institutional Professional Investor" or "Corporate Professional Investor" as assessed by ZUNDIAO pursuant to the Code of Conduct For Persons Licensed by or Registered with the SFC, in which case this Clause 18.6 does not apply.

  • Attendance at SAC meetings will earn the family 2 volunteer hours.

  • 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.

  • As you are treated as Professional Investor described in the SFO and the PI Rules, please be reminded to take note of the details under paragraphs15.4 and 15.5 of the Code of Conduct and ensure that you understand the risks and consequences of being treated as a Corporate Professional Investor.

  • Where the Subscriber is a Corporate Professional Investor, it confirms that it has read the document titled “Notice of Treatment as a Corporate Professional Investor” and acknowledges and agrees to being treated as a Corporate Professional Investor for the purposes of the Code of Conduct for Persons Licensed by and Registered with the Securities and Futures Commission (the SFC Code of Conduct).

  • By ticking the following box ⬜ the Subscriber confirms that it is a Professional Investor as defined under paragraphs (a) to (i) of section 1, Part 1 of Schedule 1 of the Securities and Futures Ordinance, or that it is a Professional Investor as defined under sections 4, 6 and 7 of the Securities and Futures (Professional Investor) Rules (a Corporate Professional Investor).

  • You confirm that, in relation to the products and markets in which you will invest through us, you continue to satisfy the Relevant Criteria which allow us to treat you as a Corporate Professional Investor for the purposes of the Code.

  • 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.

  • The Company proposes to treat the Investor as an "Individual Professional Investor" or a "§15.5 Corporate Professional Investor".


More Definitions of Corporate Professional Investor

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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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 adviser representative means an individual employed by or associated with an investment adviser or federal covered investment adviser and who makes any recommendations or otherwise gives investment advice regarding securities, manages accounts or portfolios of clients, determines which recommendation or advice regarding securities should be given, provides investment advice or holds herself or himself out as providing investment advice, receives compensation to solicit, offer, or negotiate for the sale of or for selling investment advice, or supervises employees who perform any of the foregoing. The term does not include an individual who:

  • Asset Management Company/UTI AMC/AMC/Investment Manager means the UTI Asset Management Company Limited incorporated under the Companies Act, 1956, (1 of 1956) [replaced by The Companies Act, 2013 (No.18 of 2013)] and approved as such by Securities and Exchange Board of India (SEBI) under sub-regulation (2) of Regulation 21 to act as the Investment Manager to the schemes of UTI Mutual Fund.

  • Investment Client means (i) any investment company registered as such under the Investment Company Act, any series thereof, or any component of such series for which the Adviser acts as investment adviser; or (ii) any private account for which the Adviser acts as investment adviser.

  • 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.

  • Registered professional engineer means a person who is registered as a professional engineer pursuant to s. 443.04, Stats.

  • Sub-Adviser means Nuveen Asset Management, LLC, the Fund’s sub-adviser, which is a subsidiary of the Investment Adviser.

  • Participating Clinical Professional Counselor means a Clinical Professional Counselor who has a written agreement with the Claim Administrator or another Blue Cross and/or Blue Shield Plan to provide services to you at the time services are rendered.

  • Asset Management Company/UTI AMC/AMC/Investment Manager means the UTI Asset Management Company Limited incorporated under the Companies Act, 1956, (1 of 1956) replaced by The Companies Act, 2013 (No. 18 of 2013) and approved as such by Securities and Exchange Board of India (SEBI) under sub-regulation (2) of Regulation 21 to act as the Investment Manager to the schemes of UTI Mutual Fund;

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

  • Sub-Investment Manager means for each Fund the sub-investment manager or sub-investment managers indicated in the tables on page x, and in addition for each Fund any other sub-investment manager that the Investment Manager may appoint in the future to manage the Fund, provided that disclosure of any such sub-investment managers appointed by the Investment Manager will be provided to Shareholders upon request and details thereof will be disclosed in the periodic reports to Shareholders, and provided further that each Sub-Investment Manager may appoint a sub-investment manager/advisor to manage/advise any portion of the assets of the Fund in accordance with the requirements of the Central Bank Rules;

  • Sub-Advisor shall include the Sub-Advisor and/or any of its affiliates and the directors, officers and employees of the Sub-Advisor and/or any of its affiliates.

  • Independent Financial Adviser means an independent financial institution of international repute appointed by the Issuer at its own expense.

  • Purchaser Representative means any person who satisfies all of the following conditions or who the issuer reasonably believes satisfies all of the following conditions:

  • Registered professional nurse means that term as defined in section 17201 of the public health code, 1978 PA 368, MCL 333.17201.

  • Professional person means a mental health professional,

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

  • Non-Participating Clinical Professional Counselor means a Clinical Professional Counselor who does not have a written agreement with the Claim Administrator or another Blue Cross and/or Blue Shield Plan to provide services to you at the time services are rendered.

  • Shareholder Representative has the meaning set forth in the preamble.

  • Investment Consultant means PMA Asset Management, LLC, or such other Person who shall be acceptable to the Governing Board.

  • Investment Management Agreement means the Investment Management Agreement, dated as of the date hereof, by and between the Investment Manager and the Borrower.

  • Company U.S. Counsel means Xxxxxx Xxxxxx Xxxxxxxxx Xxxx and Xxxx LLP, with offices located at 00 Xxxxx Xxxxxx, Xxxxxx, Xxxxxxxxxxxxx 00000.

  • Professional Client means a “Professional Client” for the purposes of CySEC Rules, as specified in the Client Categorization Policy found on the Company’s Website.

  • 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.

  • Strategic Investor means a Corporation, partnership or other entity engaged in one or more Telecommunications Businesses that has, or 80% or more of the Voting Stock of which is owned by a Person that has, an equity market capitalization, at the time of its initial Investment in the Company or in a Permitted Joint Venture with the Company, in excess of $2 billion.