Compliance, Legislative & Regulatory Standards

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

概要

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.

宗旨

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.

內容

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

對象

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

導師/講者

黎凱德

Donald Lai, Contributing Editor to Securities and Futures Ordinance (Cap 571): Commentary and Annotations (2019 Edition) Donald is a solicitor, certified public accountant and chartered company secretary. He spent most of his career in a statutory body. 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 one of the contributing editors of the 2018 and 2019 editions of the SFO: Commentary and Annotations.

詳情

活動編號
TPRCR21015401
日期及時間
2021年11月8日，星期一 (06:30 下午 - 09:30 下午)
地點
虛擬平台
相關主題
第6類 - 就機構融資提供意見
第9類 - 提供資產管理
監管合規
語言
Trad. Chi / 粵語
課程時數
SFC:3.00, PWMA:3.00
費用
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