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;
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.
Professional Investor Rules means the Securities and Futures (Professional Investor) Rules, Chapter 571D of the Laws of Hong Kong.

Examples of Professional Investor Rules in a sentence

  • Where the Client is not a professional investor within the meaning of the Securities and Futures (Professional Investor) Rules (Cap.571D) of the Laws of Hong Kong , this authority shall only be valid for 6.

  • I further hereby confirm that:- (a) I have done assessment on the client in accordance with section 3(a), (c) and (d) 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.

  • 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.


More Definitions of Professional Investor Rules

Professional Investor Rules means Securities and Futures (Professional Investor) Rules (Cap. 571D).
Professional Investor Rules means the Securities and Futures (Professional Investor) Rules (Cap. 571D, Laws of Hong Kong).
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.
Professional Investor Rules means the Securities and Futures (Professional Investor)

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 body means a body of, or representing,

  • 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 as a professional athlete or agrees to render services as a player on a professional sports team or with a professional sports organization.

  • 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 that the provider obtain a license or other legal authorization as a condition precedent to providing that service. Professional service includes, but is not limited to, services provided 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 Company 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 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.

  • 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