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.

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;

Examples of Corporate Professional Investors in a sentence

• The configuration orchestration provides infrastructure resources, while the configuration management installs software/- platforms/applications on the provisioned infrastructure and manages their configurations.

• The Adviser may rely on exemptions from the provisions of the Code referred to in paragraph 15.4 of the Code when dealing with Corporate Professional Investors which meet the criteria of the CPI Assessment.

• In particular, under the New PI regime, the SFC introduced Corporate Professional Investors Assessment (“CPI Assessment”) and reinstated the suitability requirement that requires Intermediaries to ensure certain PIs’ product suitability as to protect them from the possible event of mis-selling.

• Corporate Professional Investors are trust corporations, corporations or partnerships falling under sections 4, 6 or 7 of the Securities and Futures (Professional Investor) Rules (the PI Rules).

• AIs dealing with Institutional Professional Investors and Corporate Professional Investors in respect of sale of non-SFO-regulated structured investment products could adopt the exemptions stipulated in paragraph 15 of the SFC’s Code of Conduct and paragraphs 6.3, 6.7 and 6.8 of the SFC’s Guidelines, including the suitability requirement, minimum information and warning statements.

• Note: The following product is only applicable to Corporate Professional Investors or Individual Professional Investors, and is not suitable to investors not falling under either of these two categories.注意：以下產品只適用於法團專業投資者或個人專業投資者，並不適合非此兩類性質的投資者。 Selected Bonds – Medium Risk精選債券– 中風險NWDEVL 4.650% 03/16/26 CorpNWD（MTN）有限公司 4.650% 03/16/26 CorpNWD (MTN) Limited operates as an investment management firm.

• Exempt provisions for Corporate Professional Investors where licensed or registered persons have complied with paragraphs 15.3A and 15.