On 5 May 2017, the SFC published new prescribed forms for disclosure of interests notifications. These new forms will replace the existing forms when filing of Part XV notifications must be done electronically from 3 July 2017 onwards. That is to say, substantial shareholders, directors and chief executives of listed corporations must submit Part XV notifications electronically with respect to their interests in securities of listed corporations.
For events triggering disclosure requirements which occur on or after 3 July 2017, filers must use the new prescribed forms (as set out in the column headed "Forms and directions effective from 3 July 2017" below) and submit them through a new Disclosure of Interests Online System (DION System) to be introduced by Hong Kong Exchanges and Clearing Limited (HKEX). From 3 July 2017, notifications and reports under Part XV of the Securities and Futures Ordinance must be filed electronically through the DION System and can no longer be submitted by hand, post, fax or email.
| Forms and directions effectivefrom 3 July 2017 |
||
|---|---|---|
| Item | Name of the forms | Forms |
| 1 | Form 1 - Individual Substantial Shareholder Notice | |
| Form 1 - Individual Substantial Shareholder Notice | Excel | |
| Directions and instructions for completion of Form 1 | ||
| 2 | Form 2 - Corporate Substantial Shareholder Notice | |
| Form 2 - Corporate Substantial Shareholder Notice | Excel | |
| Directions and instructions for completion of Form 2 | ||
| 3A | Form 3A - Director/Chief Executive Notice - Interests in Shares of Listed Corporation | |
| Form 3A - Director/Chief Executive Notice - Interests in Shares of Listed Corporation | Excel | |
| Directions and instructions for completion of Form 3A | ||
| 3B | Form 3B - Director/Chief Executive Notice - Interests in Shares of Associated Corporation | |
| Form 3B - Director/Chief Executive Notice - Interests in Shares of Associated Corporation | Excel | |
| Directions and instructions for completion of Form 3B | ||
| 3C | Form 3C - Director/Chief Executive Notice - Interests in Debentures of Listed Corporation | |
| Form 3C - Director/Chief Executive Notice - Interests in Debentures of Listed Corporation | Excel | |
| Directions and instructions for completion of Form 3C | ||
| 3D | Form 3D - Director/Chief Executive Notice - Interests in Debentures of Associated Corporation | |
| Form 3D - Director/Chief Executive Notice - Interests in Debentures of Associated Corporation | Excel | |
| Directions and instructions for completion of Form 3D | ||
| 4 | Form 4 - Listed Corporation Notice - Findings of Investigation Report | |
| Form 4 - Listed Corporation Notice - Findings of Investigation Report | Excel | |
| Directions and instructions for completion of Form 4 |
From 3 July 2017, new codes will be introduced. A full list of the codes can be found within the forms and in the directions and instructions for completion of the relevant form. You may also click here for a complete list of the new codes.
Last update: 2 Mar 2020