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Hong Kong Law

February 2011

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Charltons - Hong Kong Law Newsletter - Issue 113 - 25 February 2011

Evidential Requirements under The Securities And Futures (Professional Investor) Rules

SFC Publishes Consultation Conclusions On The Evidential Requirements Under The Securities And Futures (Professional Investor) Rules

High Net worth professional investor

Relevant date as time reference for determining whether an investor meets the relevant assets or portfolio threshold

The Principle Based Approach

Current assessment methods in sections 3(a) to 3(c) of the Securities and Futures (Professional Investor) Rules (Professional Investor Rules)

Extending the application of section 3(d) of the Securities and Futures (Professional Investor) Rules (Professional Investor Rules) to trust corporations, individuals and corporations/partnerships

Assets or portfolio thresholds

Self-certification as a professional investor

Retaining the current methods of appraising whether or not a client qualifies as a professional investor