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Course Details

(Webinar) Disclosure of Interests Notices Forms and Exemptions for Funds and Trusts
Donald Lai, Manager - Enforcement Division (Investigation), Securities and Futures Commission
Date: 21 January 2021 (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: L21SF01
Venue: Webinar Course
Presenter's Biography:

Donald is a solicitor, certified public accountant and chartered company secretary. He spent most of his career in the SFC, starting 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 handles insider dealing and market misconducts investigations. After earning his first degree in business administration in Canada, Donald obtained a part-time LLB degree with first-class honours at the City University of Hong Kong. In 2017, Donald completed the LLM program in Corporate and Financial Laws and graduated with distinction from the University of Hong Kong. Donald specialises in securities laws and is a contributor to the 2018 and 2019 editions of the SFO: Commentary and Annotations.
 
Objective:

This seminar is an extension of the general introduction of disclosure of interests (DI) in Part XV of the SFO. This seminar involves a workshop on filling the DI forms and focuses on the specific exemptions applicable to the fund and trust industries.
 
Outline:

(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) SFC DI Enquiries
 
Category: Regulatory & SFC Compliance
Course Booking Terms & Conditions

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