I hereby consent to being treated as a Professional Investor as defined in Schedule 1 to the Securities and Futures Ordinance (Cap. 571) (the “SFO”) read with the Securities and Futures (Professional Investor) Rules (the “Rules”) of Hong Kong. (The relevant part of the definition of Professional Investor is shown at the end of the page.)
I undertake to provide to Endowus HK Limited (“Endowus”) such documentary proof as is necessary to support my classification as “Professional Investor” and, promptly notify Endowus of any changes that may affect my status as a “Professional Investor''.
I acknowledge and agree that Endowus is exempt from complying with the provisions set out in paragraph 15.5 of the SFC Code of Conduct (“Exempt Requirements”), which are as follows:
(a) Information for clients
- the need to inform me about Endowus and the identity and status of its employees and others acting on its behalf;
- the need to confirm promptly with me the essential features of a transaction after effecting a transaction for me; and
- the need to provide me with documentation on the Nasdaq-Amex Pilot Program.
Furthermore, I acknowledge and agree that it is not necessary for Endowus to provide me with any contract notes, statements of account or receipts (as the case may be) in accordance with the Securities and Futures (Contract Notes, Statements of Account and Receipts) Rules (“the Contract Notes Rules”), unless I specifically request.
Notwithstanding the foregoing, I understand that Endowus may choose to comply with the Exempt Requirements despite paragraph 15.5 of the Code of Conduct, and to provide me with contract notes, statements of account and receipts, even though Endowus is not obliged to do so.
The full text of the SFC Code of Conduct is available on the SFC website here.
I understand that I may withdraw my consent to be treated as a “Professional Investor” at any time by giving 14 days’ written notice by email to support.hk@endowus.com.
A “Professional Investor” includes:
An individual having a portfolio of not less than HK$8 million at the relevant date or as ascertained in accordance with the document requirements within the Platform, when any one or more of the following are taken into account:
(i) a portfolio on the individual’s own account;
(ii) a portfolio on a joint account with the individual’s associate (being, your spouse and children);
(iii) the individual’s share of a portfolio on a joint account with one or more persons other than the individual’s associate, which is:
- the individual’s share of the portfolio as specified in a written agreement among the account holders; or
- in the absence of an agreement referred to in paragraph (A) above, an equal share of the portfolio; and
(iv) a portfolio of a corporation which, at the relevant date, has as its principal business the holding of investments and is wholly owned by the individual.
本人同意被視為《證券及期貨條例》（第571 章）（SFO）附表1及證券及期貨（專業投資者）規則》（ 《規則》）內 所定義的專業投資者）。專業投資者相關定義參考末段。
我承諾向Endowus HK Limited（Endowus）提供支持我被歸類為「專業投資者」所需的文件證明，並會盡快通知 Endowus 任何可能影響我「專業投資者」身份的變化。
本人確認並同意Endowus獲豁免遵守證監會行為守則第15.5段所載條文（豁免要求），如下：
(a)為客戶提供資料
- 須向客戶提供有關Endowus持牌人或註冊人和有關其僱員及其他代表其行事的人士的身分和受僱狀況的資料；
- 為客戶完成交易後，須盡快向該客戶確認有關該宗交易的重點（； 和
- 須向客戶提供關於納斯達克－美國證券交易所試驗計劃的資料文件。
此外，本人確認並同意，除非特別要求，Endowus 無須依據《證券及期貨(成交單據、戶口結單及收據)規則》向本人提供任何成交單據、戶口結單或收據（視情況而定）。
本人了解，儘管Endowus豁免遵守證監會行為守則第15.5段，沒有義務執行有關要求，但Endowus 仍可能選擇遵守規則，並向我提供成交單據、戶口結單及收據。
證監會行為守則的全文可在證監會網站上查閱。
我了解，我可以隨時透過電子郵件向support.hk@endowus.com提前14日發出書面通知，撤回我被視為「專業投資者」的同意。
「專業投資者」包括：
以下任何一項或多項滿足在相關日期或根據平台內文件要求確定的投資組合不少於港幣800萬元條件的個人：
(i) 個人戶口的投資組合；
(ii) 與此人的關聯人（即配偶和子女）的聯名帳戶投資組合；
(iii) 此人在與關聯人以外的一名或多名人士的聯名戶口中所佔的投資組合份額，即：
- 戶口持有人之間書面協議中指定的個人在投資組合中的份額； 或者
- 若沒有上文所提述的協議，則視同擁有投資組合中的均等份額； 和
(iv) 在相關日期以持有投資為主要業務且由個人全資擁有的公司的投資組合。