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.

  • 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/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).

  • Snyder for service-connected disability retirement, subject to timely requested hearing by an interested party.Applicant’s Counsel Russell Ghitterman was present and addressed the Board.

  • 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.

  • In the event that we notify you that we will treat you as an Individual Professional Investor or a Corporate Professional Investor (but not an Experienced Corporate Professional Investor) in respect of any relevant markets and products, Clause 9.5 herein below shall apply to you in respect of such markets and products.


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 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.

  • Sub-Adviser means an adviser to

  • 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 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.

  • Sub-Investment Manager means for each Fund any sub-investment manager or sub-investment managers indicated in the relevant Supplement and any sub-investment manager that the relevant Investment Manager may appoint in the future to manage the Fund, provided that disclosure of any such sub-investment managers appointed by the Investment Managers 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 any Fund to which it has been appointed Sub-Investment Manager 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 Company 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:

  • 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 any individual or organization employed to provide advisory services, including advice on investment objectives and/or asset allocation, manager search, and performance monitoring.

  • Investment Management Agreement means the Investment Management Agreement made

  • Company U.S. Counsel means Xxxxxx Xxxxxxx Xxxxxxxx & Xxxxxx, Professional Corporation.

  • 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.

  • Advisers means a party or parties furnishing services to the Trust pursuant to any investment advisory or investment management contract described in Article IV, Section 6(a) hereof;

  • 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.

  • Medical professional means a person licensed to practice