Professional Investor 專業投資者

在香港進行投資人士需要留意證券及期貨事務監察委員會（“證監會”）相關的規則和限制。 一般來說，投資者需要滿足《證券及期貨條例》（CAP 571D）（“SFO”）的某些條款要求並受到其保護，但是，如果客戶被歸類為SFO定義的專業投資者，則該要求和保護將會被放寬。
The Securities and Futures Commission (“SFC”) has imposed certain rules and restrictions in dealing with investors in Hong Kong. Generally, an investor will be covered by certain requirements and protections under the Securities and Futures Ordinance (CAP 571D) (“SFO”), which, however, will be relaxed if a customer is categorized as a Professional Investor as defined by the SFO.

《證券及期貨條例》對“專業投資者”進行了定義。
“Professional Investor” is defined under the SFO.

如果您符合以下條件，您將被視為香港的專業投資者：
You are regarded as a Professional Investor in Hong Kong if you are:-

1. 在相關日期擁有流動資產組合（包括但不限於現金、存款、證券）超過 800 萬港元的個人。 提供的資產組合滿足以下任何一項 ：-
  • 您自己本人的帳户內的投資組合；
  • 您聯同配偶或子女共有帳户內的投資組合；
  • 您在與除您的配偶或子女之外人士於某聯權共有帳户內的投資組合中所佔部分，並提供書面協議；
  • 在有關日期的主要業務是持有投資項目並在有關日期由您全資擁有的法團的投資組合。
1.an individual having a portfolio of liquid assets (including but not limited to cash, deposits, securities) more than HKD 8 million at the relevant date. The portfolio provided may be in the form of: -
  • a portfolio of your own account;
  • a portfolio on a joint account with the your spouse or child(ren);
  • your share of a portfolio on a joint account with one or more persons other than the your spouse or child(ren) where a written agreement is provided;
  • a portfolio of a corporation which, at the relevant date, has its principal business the holding of investments and is wholly owned by the individual.

2. 符合以下說明的信託法團： 擔任一項或多於一項信託的信託人，而在該項或該等信託下獲託付的總資產在有關日期獲確定不少於$40,000,000。
2.a trust corporation having been entrusted under one or more trusts with total assets of not less than HKD 40 million at the relevant date.

3. 符合以下說明的合夥：(i)擁有的投資組合在有關日期獲確定不少於$8,000,000；或(ii)擁有的總資產在有關日期獲確定不少於$40,000,000。
3. a partnership having a portfolio of not less than HKD 8 million or total asset of not less than HKD 40 million at the relevant date.

4.1符合以下說明的法團：(i)擁有的投資組合在有關日期獲確定不少於$8,000,000；或(ii)擁有的總資產在有關日期獲確定不少於$40,000,000。
4.1a corporation having a portfolio of not less than HKD 8 million or total assets of not less than HKD 40 million at the relevant date;

4.2.在有關日期的主要業務是持有投資項目並在有關日期由上述專業投資者定義的人士全資擁有的法團，或在有關日期全資擁有4.1段提述的法團的法團。
4.2 a corporation which, at the relevant date, has as its principal business the holding of investments and is wholly owned by any one or more of the persons falling within the definition of professional investors mentioned above, or wholly owns a corporation referred to above.