Qualified Investor Exemption

This framework is for issuers targeting professional and institutional investors who are experienced in handling complex financial instruments.

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Who Can Invest?

• Institutional Investors: Banks, pension funds, insurance companies, and asset managers.

• High-Net-Worth Individuals (HNWI): Wealthy individuals who meet specific financial thresholds, such as holding significant assets or demonstrating financial expertise.

• Professional Clients: Investors classified as professionals under FINMA regulations, such as advisors or experienced traders.

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How Much Money Can Be Raised?

• Unlimited—there is no maximum limit on how much capital you can raise.

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Are There Any Restrictions?

• Marketing or advertising the offering to retail investors (ordinary people) is prohibited unless a prospectus is prepared and approved.

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Compliance Notes

• Since qualified investors are considered knowledgeable, the regulatory burden on issuers is reduced.

• You don’t need to file a full prospectus for this exemption, but you must maintain records proving that all investors meet the “qualified investor” criteria.

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Why Choose This Framework?

This exemption is ideal for issuers targeting experienced investors who don’t require the same level of protection as retail investors. It allows for quick, flexible fundraising with minimal compliance costs.

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