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New sophisticated professional investor regime – what you need to know

Finance | 24/08/2023

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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Contributors

Katherine Liu

Partner - Head of Finance and Financial Services Group, Greater China

Hong Kong

James Wong

Managing Associate

Hong Kong

Alan Wong

Associate

Hong Kong

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