Corporate Professional Investors definition

Corporate Professional Investors means the "Corporate Professional Investors" as defined in paragraph 15 of the Code, with regard to whom the Bank has complied with paragraphs 15.3A and 15.3B of the Code and who have given consent for the Bank to be exempt from complying with the requirements set out in paragraphs 15.4 and 15.5 of the Code.
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Corporate Professional Investors means trust corporations, corporations or partnerships falling under sections 3(a), (c) and (d) of the Professional Investor Rules and meeting the description in paragraph 15.2 of the SFC Code of Conduct;
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Examples of Corporate Professional Investors in a sentence

  • 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.

  • Levels of financial sophistication will vary within the class of Corporate Professional Investors.

  • Corporate Professional Investors- trust corporations, corporations or partnerships falling under sections 3(a), (c) and (d) of the Professional Investor Rules, except for investment vehicles falling under the definition of “Individual Professional Investors”.

  • 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.

  • Intermediaries may rely on exemptions from the provisions of the Code referred to in paragraph 15.4 of the Code (Paragraph15.4 Exemptions) when dealing with Corporate Professional Investors which meet the criteria of the CPI Assessment (discussed below).

  • Corporate Professional Investors: Conditions for Reliance on Paragraph 15.4 Exemptions In order for an intermediary to rely on the Paragraph 15.4 Exemptions in relation to a Corporate Professional Investor it must first: a) perform the new corporate professional investor assessment (CPI Assessment) which is set out in new paragraph 15.3A of the Code; and b) perform the procedures set out in new paragraph 15.3B of the Code.

  • The Manager meets the requirements to be treated as a corporate professional investor (which is falling under section 3(a), (c) and (d) of the Securities and Futures (Professional Investor) Rules, who has passed the Corporate Professional Investors Assessment and have agreed to be treated as a professional investor by returning a signed declaration to indicate such consent.

  • Intermediaries dealing with Corporate Professional Investors may also rely on the Paragraph 15.5 Exemptions, which are discussed in relation to Individual Professional Investors above, subject to performing the procedures set out in new paragraph 15.3B of the Code.

Related to Corporate Professional Investors

  • 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:

  • Lead Investors means collectively, BlackRock, GSO, Magnetar and, solely for purposes of Section 2.02(b), Investment Partners V (II), LLC.

  • Professional Persons means all Persons retained by order of the Bankruptcy Court in connection with the Reorganization Cases, pursuant to sections 327, 328, 330 or 1103 of the Bankruptcy Code, excluding any ordinary course professionals retained pursuant to order of the Bankruptcy Court.

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

  • Investors means the Initial Investors and any transferee or assignee who agrees to become bound by the provisions of this Agreement in accordance with Section 9 hereof.

  • Institutional Investors means any regulated investment company, segregated asset account, foreign investment company, common trust fund, group trust or other investment arrangement, whether organized within or without the United States of America.

  • Qualified professional means, for the purposes of OAR 411-320- 0080, any of the following licensed professionals trained to make a diagnosis of a specific intellectual or developmental disability:

  • 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.

  • Oaktree means Oaktree Capital Management, LLC and its Affiliates, including any partnerships, separate accounts or other entities managed by Oaktree.

  • Medical professional means a person licensed to practice

  • Special Committee means a committee of the Board of Managers of the Company comprised of two individuals, each of whom qualifies as an Independent Manager.

  • Management Shareholders means Xxxxxx X. Xxxx, Xxxx X. Xxxxxxx, and Xxxxxx X. Xxxxxxxxx.

  • Other Investors shall have the meaning set forth in the Preamble.

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

  • 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.

  • Lead Counsel means the law firm of Xxxxxxxxx Xxxxxxxx Xxxxxx & Xxxxxxxxx LLP.

  • Consortium Members means the members of the Consortium, formed by the Bidder for purposes of the Transaction in accordance with this RFP and shall include members who have submitted the Format for Consortium Agreement (Annexure 5) specified in the RFP.

  • Investment Management Agreement means the Investment Management Agreement made

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

  • Principal Stockholders CERTAIN TRANSACTIONS," "DESCRIPTION OF SECURITIES," and "SHARES ELIGIBLE FOR FUTURE SALE" have been reviewed by such counsel, and insofar as they refer to statements of law, descriptions of statutes, licenses, rules or regulations or legal conclusions, are correct in all material respects;

  • CHS means Code Xxxxxxxx & Xxxxxxx IV LP, a Delaware limited partnership.

  • Health professional means an individual licensed or otherwise authorized to engage in a health profession under article 15 of the public health code, 1978 PA 368, MCL 333.16101 to 333.18838, and whose scope of practice includes the diagnosis and treatment of individuals with a substance use disorder.

  • 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;