Individual Professional Investor definition

Individual Professional Investor means individuals falling under section 3(b) of the Professional Investor Rules and meeting the requirements of paragraph 15.3B of the Code of Conduct.
Sample 1Sample 2Sample 3
Individual Professional Investor means an individual falling under section 3(b) of the Professional Investor Rules.
Sample 1Sample 2Sample 3

Examples of Individual Professional Investor in a sentence

  • 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.

  • 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.

  • 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).

  • I/We will inform the relevant intermediary in Hong Kong at any time if I/we do not wish to be treated as an Individual Professional Investor or a Corporate Professional Investor (inexperienced) (as applicable) and note that the full text of the Code of Conduct is available on the website of the Securities and Futures Commission of Hong Kong: xxx.xxx.xx.

  • I/We understand that under the Code of Conduct, we have the right to object and withdraw from being treated as an Individual Professional Investor or a Corporate Professional Investor (inexperienced) (as applicable) whether in respect of all products or markets or any part thereof by giving written notice to an intermediary in Hong Kong.

  • If you are treated as an Individual Professional Investor or if you are treated as a Corporate Professional Investor but does not fulfill the CPI Assessments, notwithstanding any declaration from you, we will observe relevant regulatory obligations in paragraphs (a), (b), (f), (g), (h) and (i) from which we cannot be exempted.

  • Part C: N otice of Consequences of Being Treated as Individual Professional Investor The performance of the obligations under paragraph 15.5 of the Code of Conduct for Persons Licensed by or Registered with the Securities and Futures Commission (“Code”) by Mayfair is waived in the event that it has complied with the procedures for exempting the performance of the obligations by Mayfair under 15.3B of the Code.

Related to Individual 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;

  • 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.

  • 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.

  • Licensed professional counselor means a counselor licensed by a Member State, regardless of the title used by that State, to independently assess, diagnose, and treat behavioral health conditions.

  • professional user shall have the meaning given it in the Regulations and Procedures for the International Registry.

  • Professional counselor means a person who practices counseling as defined in § 54.1-3500.

  • 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.

  • 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:

  • 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.

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

  • Retained Professional means an Entity: (a) employed in the Chapter 11 Cases pursuant to a Final Order in accordance with sections 327 and 1103 of the Bankruptcy Code and to be compensated for services rendered prior to the Effective Date, pursuant to sections 327, 328, 329, 330, or 331 of the Bankruptcy Code; or (b) for which compensation and reimbursement has been allowed by the Bankruptcy Court pursuant to section 503(b)(4) of the Bankruptcy Code.

  • Designated mental health professional means a mental health

  • Independent professional advice means advice of an attorney, certified public accountant, actuary, or other licensed professional adviser.

  • 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.

  • Professional person means a mental health professional,

  • Company Representatives shall have the meaning set forth in Section 6.5(a).

  • 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:

  • 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 diligence means the standard of skill and care that a Member would be reasonably expected to exercise towards a Client, commensurate with-

  • Designated chemical dependency specialist means a person

  • Genetic counselor means a person licensed by the Board to engage in the practice of genetic

  • Licensed Professional Engineer means a person acceptable to Buyer in its reasonable judgment who (a) is licensed to practice engineering in California, (b) has training and experience in the power industry specific to the technology of the Project, (c) has no economic relationship, association, or nexus with Seller or Buyer, other than to meet the obligations of Seller pursuant to this Agreement, (d) is not a representative of a consultant, engineer, contractor, designer or other individual involved in the development of the Project or of a manufacturer or supplier of any equipment installed at the Project, and (e) is licensed in an appropriate engineering discipline for the required certification being made.

  • 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.

  • Professional Sports means a sport, which would remunerate a player in excess of 50% of his or her annual income as a means of their livelihood.

  • Payment Initiation Service Provider or “PISP” means an authorised third party provider which provides a service that allows that third party to pass payment instructions to us on your behalf in relation to your Account.

  • Investment Personnel means: (a) Portfolio Managers and other Advisory Persons who provide investment information and/or advice to the Portfolio Manager(s) and/or help execute the Portfolio Manager's(s') investment decisions, including securities analysts and traders; (b) any natural person in a control relationship to the Fund who obtains information concerning recommendations made to the Fund with regard to the purchase or sale of a security; and (c) certain other individuals as designated by the Compliance Officer.