How is Professional Investor defined in a legal contract?
- Professional Investor means an investor who has the necessary expertise, knowledge, and skills to make their own investment decisions and accurately assess the risks they take. This includes entities that are required to be authorized or regulated to operate in the financial markets and larger entities and other institutional investors whose primary function is to invest in financial instruments. Seen in 45 SEC filings
- Professional Investor means an investor considered to be a professional client or treated as a professional client upon request. Seen in 37 SEC filings
- Professional Investor means a client meeting the criteria outlined in [Directive] 2014/65/EU. Seen in 22 SEC filings
Note: The Genie AI Legal Assistant pulled this data out of the SEC EDGAR Database of 500,000 records from the past 22 years of filings. We regularly update this page as new filings and definitions come in.
Search EDGAR for 'Definitions of professional investor' yourself to verify these results. We are always keen to point people to source documents.
Which definition should you use?
🤔 Our AI Legal Assistant has combined and improved the above descriptions to create market-standard 'Genie definitions' below, with guidance on which documents and which industry to use for each.
Genie Definition 1
Professional Investor means an investor with the required expertise to make independent investment decisions and accurately gauge associated risks.
Relevant Contract Types
Relevant Circumstances
- Equity participation deals
- Mergers and acquisitions
- Venture capital funding rounds
- Private equity transactions
Relevant Sectors
Genie Definition 2
Professional Investor means a client meeting specific criteria outlined in a relevant [Directive].
Relevant Contract Types
Relevant Circumstances
- Financial advisory services
- Asset management deals
- Financial regulatory compliance
Relevant Sectors
Professional Investor means an investor with the required expertise to make independent investment decisions and accurately gauge associated risks.
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