Compliance, Legislative & Regulatory Standards

[Webinar] Disclosure of Interests – Practical Issues

概要

This course summaries the legal framework of Disclosure of Interests (“DI”) and highlights new changes and updates. It will examine practical issues for DI reporting, exemptions available and shares common pitfalls in complying with DI requirements. Some recent DI enforcement cases will also be discussed to illustrate common breaches.

宗旨

This course will introduce the legal framework of disclosure of interests (DI) in Part XV of the Securities and Futures Ordinance (Cap.571). The DI regime requires directors, chief executives and substantial shareholders of companies listed in Hong Kong to disclose their interests in the companies’ securities. Failure to make a proper DI reporting is a criminal offence. The DI regime is extremely complex. Practically, the reporting of DI can be confusing and tedious and is subject to a high risk of inadvertent and technical breach. The seminar aims to clarify the practical issues in complying with the DI regime.

內容

1. What is DI?
2. Why does DI matter?
3. Who is required to report DI under the SFO?
4. When should I report DI?
5. Where do I report DI?
6. How to apply the exemptions?
7. Recent development in DI

對象

Senior management of listed companies, professional investors, SFC licensees and ROs and financial services professionals.

導師/講者

黎凱德
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.

詳情

活動編號
TPRCR22010502
日期及時間
2022年7月22日, 星期五 (6:30下午 - 9:30下午)
地點
虛擬平台
相關主題
第6類 - 就機構融資提供意見
監管合規
語言
英文
課程時數
SFC:3.00, PWMA:3.00
費用
所有會員: HK$810
機構會員員工: HK$810
非會員: HK$1620
學生會員(UHKSI): HK$405