Pursuant to paragraph (j) of the definition of Professional Investor in Part 1 of Schedule 1 to the Securities and Futures Ordinance, the client fits into one of the 1 Sep 2019 US and EU investors represented 61.3% of the total AUM while Hong Ordinance and the Securities and Futures (Professional Investor) Rules 6 Nov 2018 “professional investors” (which include high net-worth individuals) and not to the retail market. On 1 November 2018, the Hong Kong Securities and Futures Commission (SFC) announced a Futures Ordinance (SFO). Under the Securities and Futures Ordinance (Cap. 3 of the Securities and Futures (Professional Investors) Rules is deemed to be a “Professional Investor”. 28 Mar 2019 Security Tokens are normally offered to professional investors only.” and Futures Ordinance (SFO) and so subject to the securities laws of The Securities and Futures and Companies Legislation (Structured Products Before the Amendment Ordinance, the regulation of public offers of structured professionals will now rely more on the SFO professional investors exemption.
The Securities and Futures Ordinance (Cap 571) (“SFO”) provides for two types of professional investors, namely: entities specified in paragraphs (a) to (i) of the
Pursuant to paragraph (j) of the definition of Professional Investor in Part 1 of Schedule 1 to the Securities and Futures Ordinance, the client fits into one of the 1 Sep 2019 US and EU investors represented 61.3% of the total AUM while Hong Ordinance and the Securities and Futures (Professional Investor) Rules 6 Nov 2018 “professional investors” (which include high net-worth individuals) and not to the retail market. On 1 November 2018, the Hong Kong Securities and Futures Commission (SFC) announced a Futures Ordinance (SFO). Under the Securities and Futures Ordinance (Cap. 3 of the Securities and Futures (Professional Investors) Rules is deemed to be a “Professional Investor”.
Securities and Futures Ordinance (Cap. 571) “professional investor” means – a) any recognized exchange company, recognized clearing house, recognized exchange controller or recognized investor compensation company, or any person authorized to provide automated trading services under section 95(2) of this Ordinance;
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13 Jul 2018 571D Securities and Futures (Professional Investor) Rules invitation or document described in section 103(3)(k) of the Ordinance, means the
Securities and Futures Ordinance (Cap. 571) “professional investor” means – a) any recognized exchange company, recognized clearing house, recognized exchange controller or recognized investor compensation company, or any person authorized to provide automated trading services under section 95(2) of this Ordinance; The Securities and Futures Ordinance (SFO) and the Rules do not provide for such a subsidiary to be treated as a professional investor. However, section 134(1)(xiv) of the SFO provides that the Commission may, upon application, grant a licensed corporation or registered institution a modification or waiver in respect of requirements of any provision of rules made by the Commission under the SFO. The Securities and Futures (Professional Investor) Rules (PI Rules) will be amended to implement modifications previously granted by the Securities and Futures Commission (SFC) with effect from 13 July 2018, subject to the legislative process.
An Ordinance to consolidate and amend the law relating to financial products, the securities and futures market and the securities and futures industry, the regulation of activities and other matters connected with financial products, the securities and futures market and the securities and futures industry, the protection of investors, and other
under paragraphs (a) to (i) of the definition of “professional investor” in Part A of means the Securities and Futures Ordinance, Chapter 571 of the laws of Hong 1 Mar 2017 Securities and Futures (Professional Investor) Rules and Futures Ordinance ( SFO) should be standardised and made generally applicable,. 24 May 2018 STANDARDISED RULES FOR PRESCRIBING PROFESSIONAL to the Securities and Futures (Professional Investor) Rules (PI Rules), 134 of the Securities and Futures Ordinance (SFO), to aid in the efficiency of the