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Course Details

Disclosure of Interests - Practical Issues
Donald Lai, Manager - Enforcement Division (Investigation), Securities and Futures Commission
Date: 27 February 2020 (Thursday)
Time: 2:30pm - 5:45pm
Level: I (Intermediate)
For delegates who have prior knowledge of the subject area
Language: English
Fee: HK$ 1,700
Accreditation: 3 CPD pts (Accredited by The Law Society of Hong Kong)
Ref: L20SF01
Venue: Learning Commons Ltd
Room 1602, 16/F,
1 Duddell Street,
Central, Hong Kong
[View Map]
Presenter's Biography:

Donald is a solicitor, certified public accountant and chartered company secretary. He spent most of his career in the SFC, starting off in the Intermediaries Supervision Department in 2006 and rejoined the Enforcement Division in 2014. In his capacity as an investigator in the Enforcement Division, Donald had handled cases relating to late disclosure of interests (DI) and contributed to the new DI forms design and the electronic platform of DI submission in 2017. While working in the SFC, Donald has completed a part-time LLB degree in the City University of Hong Kong and graduated with first-class honour. In 2017, Donald graduated with an LLM degree in Corporate and Financial Laws with distinction from the University of Hong Kong. Donald specialises in securities law and is a contributor to the 2018 and 2019 editions of the SFO: Commentary and Annotations.
 
Objective:

This seminar will introduce the legal framework of disclosure of interests (DI) in Part XV of the SFO. 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.
 
Outline:

  • What is DI?
  • Why does DI matter?
  • Who is required to report DI under the SFO?
  • When should I report DI?
  • Where do I report DI?
  • How to apply the exemptions?
  • Recent development in DI

 
Category: Regulatory & SFC Compliance
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