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How do I qualify for Professional Investor status?

As an individual, you can qualify as a Professional Investor, if you are a individual investor having a portfolio of not less than HK$8 million (or its foreign currency equivalent) at the relevant date in:

  • A portfolio on your own account; or
  • A portfolio on a joint account with your associate (eg. spouse); or
  • Your share* of a portfolio on a joint account with another who is not his associate; or
  • A portfolio of a corporation which has the holding of investments as its principal business and is wholly owned by you.

* In determining your share of a portfolio on a joint account with persons other than your associates, your share means the one specified in a written agreement among the account holders OR an equal share of portfolio in the absence of an agreement.

Assets can be:

  • Investments based on market value (including stocks, bonds, unit trusts, equity-linked investment and more) 
  • Certificates of Deposits (CDs)
  • Cash or cash equivalent deposits

Please upload documents such as:

  • One or more statements of accounts issued by a bank or brokerage firm (either in your name or with your spouse or your children on a joint account basis), dated not more than 3 months ago
  • A certificate issued by an auditor or certified public accountant,  dated not more than 3 months ago
  • A public filing# submitted by or on behalf of the individual,  dated not more than 3 months ago
  • A copy of the agreement (if any), in cases where your share of a portfolio on a joint account with persons other than your associates is concerned.

# Public filing means a document that a person or body is under a duty to publish pursuant to legal or regulatory requirements in Hong Kong (e.g. published financial results of a listed company etc.)

Please note: pursuant to the Securities and Futures Commission of Hong Kong, you are required to provide such supporting documents on an annual basis to renew your Professional Investor status.