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24 Aug 2023

New sophisticated professional investor regime – what you need to know

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The HKMA and SFC issued a joint circular on 28 July 2023 introducing a "Streamlined Approach" for compliance with suitability obligations when dealing with "sophisticated professional investors", which effectively creates a new sub-category of individual professional investors who possess higher levels of net worth and relevant knowledge or experience.

To understand more about the new sophisticated professional investors regime as well as how this may affect you, click here.

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