Professional Investor (“PI”) opt-in form
A “Professional Investor” generally has access to a wider range of financial products and services. If you choose to opt-in as a PI at Endowus HK Limited, you may access alternatives, private equity, private credit & real estate, hedge funds, and other investment products that are only available to PIs.
Please note that being treated as an PI means that you are expected to have more knowledge, and are able to understand and manage the risks of the financial products you choose to invest in. PIs are assumed to be better informed and better able to access resources to protect their own interests.
Regardless of your net worth, all investors should give careful thought to all investment opportunities and remember that all investments carry risk. In particular, PI-only products tend to have less regulatory oversight and require a bigger financial commitment upfront, their offering and marketing documents are not subject to regulatory review.
Investors should consult a professional adviser if they do not understand any consequence of being treated as an PI.
Professional Investor Acknowledgement
By consenting to being treated as a Professional Investor as defined in Schedule 1 to the Securities and Futures Ordinance (Cap. 571) (the “SFO”) and the Securities and Futures (Professional Investor) Rules (the “Rules”) of Hong Kong, you confirm that you:
undertake to provide to Endowus HK Limited (“Endowus”) such documentary proof as is necessary to support your classification as “PI” and, promptly notify Endowus of any changes that may affect my status as a “PI''.
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:
Information for clients
- the need to inform you about Endowus and the identity and status of its employees and others acting on its behalf;
- the need to confirm promptly with you the essential features of a transaction after effecting a transaction for you; and
- the need to provide you with documentation on the Nasdaq-Amex Pilot Program.
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 you specifically request.
- Notwithstanding the foregoing, you understand that Endowus may choose to comply with the Exempt Requirements despite paragraph 15.5 of the Code of Conduct, and to provide you with contract notes, statements of account and receipts, even though Endowus is not obliged to do so.
understand that you 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.
The full text of the SFC Code of Conduct is available on the SFC website here.
You will receive an email confirmation after we have verified your Professional Investor status.
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