Professional Investor Rules definition

Professional Investor Rules means the Securities and Futures (Professional Investor) Rules made by the SFC under section 397(1) of the Ordinance as amended from time to time;
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Professional Investor Rules means the Securities and Futures (Professional Investor) Rules (Cap. 571D) made by the SFC under section 397(1) of the SFO as amended from time to time.
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Professional Investor Rules means the Securities and Futures (Professional Investor) Rules, Chapter 571D of the Laws of Hong Kong.
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Examples of Professional Investor Rules in a sentence

  • To the best knowledge, information and belief of the Directors having made all reasonable enquiries, the Subscriber (a professional investor within the meaning of section 6 of the Securities and Futures (Professional Investor) Rules (Cap.

  • Whether a customer is a “professional investor” under section 3 of the Securities and Futures (Professional Investor) Rules is determined by whether the relevant Distributing Bank had classified the customer as a professional investor and that the customer had signed a declaration consenting to being treated as a professional investor in accordance with paragraphs 15.3 and 15.4 of the SFC Code of Conduct at the time of the customer’s purchase of Minibonds from that Distributing Bank.

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

  • By accepting receipt of this Prospectus, you are deemed to confirm, represent and warrant to the Company that you are a professional investor within the meaning of section 1 of Part 1 of Schedule 1 to the SFO or section 3 of the Securities and Futures (Professional Investor) Rules (Cap.

  • By ticking the following box ⬜ the Subscriber confirms that it is a Professional Investor as defined under paragraphs (a) to (i) of section 1, Part 1 of Schedule 1 of the Securities and Futures Ordinance, or that it is a Professional Investor as defined under sections 4, 6 and 7 of the Securities and Futures (Professional Investor) Rules (a Corporate Professional Investor).

  • I further hereby confirm that:- (a) I have done assessment on the client in accordance with Section 3(b) of the Securities and Futures (Professional Investor) Rules (Chapter 571D of the laws of Hong Kong); and (b) I have seen the original / certified true copy of the supporting documents requested in this assessment form.

  • The definition which is contained in Schedule 1 to the SFO and the Securities and Futures (Professional Investor) Rules is lengthy and is attached at Annex A.

  • Changes in StatusThe Individual Professional Investor must inform JMC in writing immediately if the Individual Professional Investor no longer qualifies to be treated as an Individual Professional Investor under the Professional Investor Rules.

  • The conditions are onerous and include the following principal obligations.1. Restriction to professional investors and disclosure requirementsInvestors in a fund with a stated investment objective of investing in cryptocurrencies or which intends to invest 10% or more of its GAV in cryptocurrencies are restricted to “professional investors” as defined in the SFO (including high net worth investors under the Securities and Futures (Professional Investor) Rules).

  • And what—in a situation where [Senior’s] just gone, unless he was the killer.


More Definitions of Professional Investor Rules

Professional Investor Rules means Securities and Futures (Professional Investor) Rules (Cap. 571D).
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Professional Investor Rules means the Securities and Futures (Professional Investor) Rules (Cap. 571D, Laws of Hong Kong).
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Professional Investor Rules means the Securities and Futures (Professional Investor) Rules (Cap. 571D of the Laws of Hong Kong), as amended or supplemented from time to time.
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Professional Investor Rules means the Securities and Futures (Professional Investor)
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Related to Professional Investor Rules

  • 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 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 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.

  • 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.

  • Investor Relations Activities means any activities, by or on behalf of the Company or a shareholder of the Company, that promote or reasonably could be expected to promote the purchase or sale of securities of the Company, but does not include:

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

  • 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.

  • Professional sports services contract means an agreement under which an individual is employed, or agrees to render services, as a player on a professional sports team, with a professional sports organization, or as a professional athlete.

  • Career teacher means a teacher who:

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

  • 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 service means a type of personal service to the public that requires as a condition precedent to the rendering of the service the obtaining of a license or other legal authorization. Professional service includes, but is not limited to, services rendered by a certified or other public accountant, chiropractor, dentist, optometrist, veterinarian, osteopathic physician, physician, surgeon, podiatrist, chiropodist, physician's assistant, architect, professional engineer, land surveyor, or attorney-at-law.

  • Independent Financial Adviser means an independent financial institution of international repute appointed by the Issuer at its own expense.

  • Expert Advisor means a mechanical online trading system designed to automate trading activities on an electronic trading platform such as the Company’s Trading Platform. It can be programmed to alert the Client of a trading opportunity and can also trade his Trading Account automatically managing all aspects of trading operations from sending orders directly to the Trading Platform to automatically adjusting stop loss, Trailing Stops and take profit levels.

  • Professional Services means those services within the scope of the practice of architecture, professional engineering, landscape architecture, or registered surveying and mapping, as defined by the laws of Florida, or those services performed by any architect, professional engineer, landscape architect, or registered surveyor and mapper, in connection with the firm's or individual's professional employment or practice.

  • 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.

  • Independent Financial Advisor means an accounting, appraisal, investment banking firm or consultant of nationally recognized standing that is, in the good faith judgment of the Borrower, qualified to perform the task for which it has been engaged and that is independent of the Borrower and its Affiliates.

  • Decision-maker means a person who makes a determination regarding responsibility after the investigation has concluded. The Decision-maker cannot be the same person as the Title IX Coordinator, the Investigator, or the Appellate Decision-maker.

  • M&A Rules means the Provisions on Merging and Acquiring Domestic Enterprises by Foreign Investors, which was promulgated by six Governmental Agencies, namely, the Ministry of Commerce, the State-owned Assets Supervision and Administration Commission, the State Administration for Taxation, the State Administration for Industry and Commerce, the China Securities Regulatory Commission (the “CSRC”), and the State Administration of Foreign Exchange, on August 8, 2006 and became effective on September 8, 2006, as amended by the Ministry of Commerce on June 22, 2009.

  • FCA Rules means the Rules included within the FCA Handbook issued by the FCA.

  • Dealer Managers shall have the meaning set forth in the preamble.

  • PRA Rules means the Rules included within the PRA handbook issued by the PRA.

  • Traditional IRA Means an individual retirement account as defined in Code Section 408(a).

  • 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.

  • Private investigator means any individual who engages in the business of, or accepts employment

  • 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.