Event Information
Event code ESEMEF368L01 Language Cantonese
Event name Regulatory and Compliance Series for Listed Issuers: Disclosure of Interests (DI) in Shares (archived session)
CPD hours 2.50
Competency Corporate and Strategic Finance,Corporate Governance Sub-Competency Understanding of capital market and financial instruments/ hedging products,Compliance with legal & regulatory requirements and CG best practices
Level 2 - Intermediate
Contact Payment & Enrolment at enrolment@hkicpa.org.hk / 2287 7381 or Course Information at online@hkicpa.org.hk / 2287 7435
Description

Regulatory and Compliance Series for Listed Issuers: Disclosure of Interests (DI) in Shares (archived session) (ESEMEF368L01)

In today's dynamic regulatory landscape, listed issuers in Hong Kong face increasing regulatory scrutiny from the Hong Kong Stock Exchange and regulatory authorities, making it imperative for listed issuers to stay informed about their compliance obligations.

The Regulatory and Compliance Series for Listed Issuers is designed to provide directors and compliance officers of listed issuers and other participants who have to deal with regulatory and compliance issues of listed issuers with an overall view of the major regulatory issues that listed issuers in Hong Kong will face post-listing. The Series will cover major compliance topics and legal and regulatory updates on major and proposed changes to the Hong Kong Listing Rules during the relevant periods. Cases and relevant court judgments will be discussed as part of the training materials.

In this 2.5-hour e-Seminar, the meanings of “interests in shares” and the basic principles for calculating and notifying interests in shares will be introduced. The differences in the disclosure and notification requirements between a “substantial shareholder” and a “director/CEO” will be analyzed and explained. Specific disclosure issues, such as spousal interests, controlled corporation etc. and, if time allows, some DI cases, such as sale and purchase of shares etc. will also be covered. The purpose of this e-Seminar is to explain to you the basic principles in disclosure of interests in shares (DI) so that you will be able to handle DI reporting with greater confidence. Topics include:

  • Substantial shareholder vs director / CEO – difference in their disclosure obligations
  • Basic principles for calculating and notifying interests in shares
  • Meaning of “interests in shares”
  • How is a disclosure obligation incurred?
  • Notifications and reporting
  • Specific players and interests
  • Specific disclosure issues
  • DI reporting cases

​​Notice

This course operates under a new Learning management system (LMS) that is designed to enhance your learning experience. To gain access to LMS, please register for an LMS account. Within a day, you will receive an e-mail from LMS containing your login ID and a one-time password for activation. 

If you have already registered an LMS account, you will be able to access the course within 24 hours. 
The viewing period is 180 days.

Offline enrolment form
Event Date
Date / Time CPD hours Notes
29 Jul 2026 00:00 - 31 Dec 2099 23:59 2.50 *** You will have unlimited access to this e-programme within 180 days after registration. ***
Fee Information
Type Fee (HKD)
Enrolment Member Fee 170.00
Student Fee 170.00
Non Member Fee 370.00
Enrolment Date
Enrolment from 29 Jul 2026 (00:00) to 31 Dec 2099 (23:59)
Series
ESEMEF291L01 - Regulatory and Compliance Series for Listed Issuers: Connected Transactions (archived session) (16 Jun 2025 00:00 - 31 Dec 2099 23:59)
ESEMEF293L01 - Regulatory and Compliance Series for Listed Issuers: Notifiable Transactions (archived session) (18 Jun 2025 00:00 - 31 Dec 2099 23:59)
ESEMEF297L01 - Regulatory and Compliance Series for Listed Issuers: Disclosure of Inside Information (archived session) (07 Jul 2025 00:00 - 31 Dec 2099 23:59)
ESEMEF304L01 - Regulatory and Compliance Series for Listed Issuers: Legal and Regulatory Updates (1) (archived session) (18 Aug 2025 00:00 - 31 Dec 2099 23:59)
ESEMEF321L01 - Regulatory and Compliance Series for Listed Issuers: Reverse Takeovers (RTO) (archived session) (05 Dec 2025 00:00 - 31 Dec 2099 23:59)
ESEMEF323L01 - Regulatory and Compliance Series for Listed Issuers: Privatization (archived session) (12 Dec 2025 00:00 - 31 Dec 2099 23:59)
ESEMEF325L01 - Regulatory and Compliance Series for Listed Issuers: Share Buyback and Treasury Shares (archived session) (12 Dec 2025 00:00 - 31 Dec 2099 23:59)
ESEMEF327L01 - Regulatory and Compliance Series for Listed Issuers: General Offer Obligations (archived session) (22 Dec 2025 00:00 - 31 Dec 2099 23:59)
ESEMEF343L01 - Regulatory and Compliance Series for Listed Issuers: Legal and Regulatory Updates (2) (archived session) (02 Mar 2026 00:00 - 31 Dec 2099 23:59)
ESEMEF362L01 - Regulatory and Compliance Series for Listed Issuers: Disclosure of Inside Information and Continuing Disclosure Obligations - Part 1: Disclosure of Inside Information (archived session) (09 Jul 2026 00:00 - 31 Dec 2099 23:59)
ESEMEF366L01 - Regulatory and Compliance Series for Listed Issuers: Disclosure of Inside Information and Continuing Disclosure Obligations - Part 2: Continuing Disclosure Obligations (archived session) (22 Jul 2026 00:00 - 31 Dec 2099 23:59)
ESEMEF370L01 - Regulatory and Compliance Series for Listed Issuers: Legal and Regulatory Updates 2026 (1) (archived session) (29 Jul 2026 00:00 - 31 Dec 2099 23:59)
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