Compliance, Legislative & Regulatory Standards

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


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.


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.


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.


Date & Time
Tuesday, 4 Jul 2023 (6:30PM - 9:30PM)
Virtual Platform
Relevant Subject
Type 6 - Advising on corporate finance
Type 9 - Asset management
Regulatory Compliance
SFC:3.00, PWMA:3.00