Compliance, Legislative & Regulatory Standards

[Webinar] Disclosure of Interests Notices Forms and Exemptions for Funds and Trusts

Overview

This training is an extension of the Disclosure of Interests (DI) – Practical Issue. This training involves a workshop on filling the DI forms and focuses on the specific exemptions applicable to the fund and trust industries.

Objective

The training aims to achieve 3 objectives:
1. provides hand-on experience in filling the DI forms;
2. examines the DI issues for the fund and trust industries and the exemptions available to funds and trusts; and
3. explains the DI reporting for concert party agreements under s.317 of the SFO.

Content

1. DION System
2. Fund Management Structure and DI obligations
- Scenario Analysis - DI Form Workshop
- Exemptions applicable
3. Trust Structure and DI obligations
- Scenario Analysis - DI Form Workshop
- Exemptions applicable
4. Concert Party Agreement
5. SFC DI Enquiries

Who should attend

Senior management of listed companies, professional investors, fund and trust practitioners.

Speaker/Course Instructor

Donald LAI
Donald is a solicitor, certified public accountant and chartered company secretary. Before working as a regulatory legal counsel of a financial institution, he was a veteran regulator. Donald earned two undergraduate and two post-graduate degrees in accounting and law from universities in Canada, Hong Kong, and the UK. Donald specialises in securities laws. He was a part-time lecturer of Baptist University responsible for teaching “Securities Regulation” to post-graduate students. He is one of the contributing editors of the 2018 and 2019 editions of the SFO: Commentary and Annotations.

Details

Code
TPRCR22015401
Date & Time
Friday, 19 Aug 2022 (6:30PM - 9:30PM)
Venue
Virtual Platform
Relevant Subject
Type 6 - Advising on corporate finance
Type 9 - Asset management
Regulatory Compliance
Language
English
Hours
SFC:3.00, PWMA:3.00
Fees
All Member: HK$810
Staff of Corporate Member: HK$810
Non-Member: HK$1620
Student Member (UHKSI): HK$405