Institutional Professional Investors definition

Institutional Professional Investors means the "Institutional Professional Investors" as defined in paragraph 15 of the Code.
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Institutional Professional Investors means Clients who are persons falling under paragraphs
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Institutional Professional Investors means “professional investors” under Securities and Futures Ordinance (Cap.571 of the Laws of Hong Kong) (SFO), except the persons falling under paragraph (j) of the definition of “professional investor” in section 1 of Part 1 of Schedule 1 to the SFO.
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Examples of Institutional Professional Investors in a sentence

  • For clients who are Institutional Professional Investors, intermediaries only need to notify such clients in writing and no explicit consent is required (section 3(2)(a) of the Contract Notes Rules).

  • Institutional Professional Investors include financial institutions (such as licensed corporations, banks and insurance companies) whose day-to-day business involves substantial dealings in the financial markets.

  • Intermediaries dealing with Institutional Professional Investors are automatically exempt from complying with all the Code requirements set out in paragraph 48 above.

  • It should however be noted that this requirement does not apply if intermediaries are dealing with Institutional Professional Investors and Professional Investors who have been assessed under the Knowledge and Experience Assessment (and have complied with incidental procedures) as set out in paragraph 15 of the Code.

  • For example, while it is necessary for an intermediary to enter into written agreements in compliance with paragraph 6 of the Code with its retail investor clients, Institutional Professional Investors invariably negotiate individual client agreements with intermediaries and the contents of which may not meet the minimum content requirements under paragraph 6 of the Code.

  • For Institutional Professional Investors only—not for distribution to retail clients.

  • The entities specifically identified under the SFO as Professional Investors22 include the likes of banks, licensed corporations and insurance companies (referred to as Institutional Professional Investors in this Consultation Paper).

  • The SFC does not propose any changes to the exemptions applicable to Institutional Professional Investors.

  • Intermediaries serving Institutional Professional Investors are automatically exempt from complying with all the Code requirements set out in paragraph 48 above.

  • Only Institutional Professional Investors are allowed to place orders with the Company to buy or sell ChiNext Shares which are accepted as China Connect Securities (other than Special China Connect Securities which are eligible for sell orders only) through the use of Stock Connect.

Related to Institutional Professional Investors

  • 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.

  • 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;

  • Institutional Investor means (a) any Purchaser of a Note, (b) any holder of a Note holding (together with one or more of its affiliates) more than 5% of the aggregate principal amount of the Notes then outstanding, (c) any bank, trust company, savings and loan association or other financial institution, any pension plan, any investment company, any insurance company, any broker or dealer, or any other similar financial institution or entity, regardless of legal form, and (d) any Related Fund of any holder of any Note.

  • Institutional pharmacy means the physical portion of an institutional facility that is engaged in the compounding, dispensing, and distribution of drugs, devices, and other materials, hereinafter referred to as ‘drugs’, used in the diagnosis and treatment of injury, illness, and disease and which is permitted by the State Board of Pharmacy.

  • 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.

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

  • 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.

  • Institutional Client means a major commercial bank, corporation, insurance company, or substantially similar institution, which, as a substantial part of its business operations, purchases or sells securities and makes use of custodial services.

  • 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.

  • 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.

  • Institutional Accredited Investors Institutions that are “accredited investors” within the meaning of Rule 501(a) (1), (2), (3) or (7) of Regulation D under the Act or any entity all of the equity owners of which are such institutions.

  • 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.

  • 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 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.

  • 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 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:

  • Professional person means a mental health professional,

  • Institutional Holder An insurance company whose long-term debt is rated at least A- (or equivalent rating) by a Rating Agency, or an equivalent rating from any other nationally recognized statistical rating organization.

  • 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.

  • Professionals means those Persons (a) employed pursuant to an order of the Bankruptcy Court in accordance with Sections 327 or 1103 of the Bankruptcy Code and to be compensated for services pursuant to Sections 327, 328, 329, 330 and 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.

  • professional body means a body of, or representing,

  • Professional Provider means a Physician, Dentist, Podiatrist, Psychologist, Chiropractor, Optometrist or any Provider designated by the Claim Administrator or another Blue Cross and/or Blue Shield Plan.

  • Representative Plaintiffs means Plaintiffs Xxxxx Xxxxxxx, Xxxxxxx Xxxxxxx, and Xxxxxx X. Xxxxx.

  • Nonprofessional services means any services not specifically identified as professional services in

  • Qualified Institutional Investor (tekikaku kikan xxxxxxx) has the meaning assigned thereto in Article 2, Paragraph 3, item 1 of the Financial Instruments and Exchange Law (kinyu shohin torihiki ho) of Japan (Law No. 25 of 1948), Article 10, Paragraph 1 of the regulations relating to the definitions contained in such Article 2.

  • Career teacher means a teacher who: