Professional Investor: To be or not to be

3 June 2011 | 7 minutes read

On 28th June 2010, the SFC reprimanded and fined Julius Baer HK$3million for failing to take adequate steps to identify clients as professional investors (PIs) before treating them as such. The SFC’s actions were widely reported in the financial press and sent a mini-shockwave though the private banking industry in Asia for the perceived severity of the reprimand. If there…

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