Disclosure of Interests Online (DION) System

 

Online Help

1. User Registration

To register a User ID in DION System for submitting DI Forms/ reports

2. Download DI Forms

(i) to download DI blank form

(ii) to download DI Form which is pre-filled with user profile information

3. Form Submission

To login DION System and submit DI Forms/reports

(i) Individual user – submit Form 1, Form 3A, 3B, 3C or 3D

(ii) Corporate user – submit Form 2, Form 3A, 3B, 3C or 3D

(iii) Listed Corporate user – submit Form 4 and/or special report

4. Change Login password

To change user password after logging into DION System

5. User Profile maintenance

To maintain the following User ID information

(i) user profile information

(ii) merged User ID(s)

(iii) security questions and answers

(iv) registered email address

(v) deactivate User ID

6. Forgot User ID

To retrieve User ID(s) registered under a specific registered email address

7. Forgot Password

To unlock and reset user password if user has forgotten the password

8. Listed corporation using ESS user account to login DION System

ESS AP or ESS DI user can login DION System to download DI Form(s) and attachment(s) filed through DION System

(i) login

(ii) download copy of DI Form(s) and attachment(s)

 

User Registration

GO TO REGISTRATION PAGE

Click “” on the top left corner (refer to number bubble 1) and choose “Registration” from menu bar. (refer to number bubble 2)

STEP 1 - GENERAL INFORMATION

Read the Tips (refer to number bubble 3) and fill in general information (refer to number bubble 4). Input the characters in the image (refer to number bubble 5). After completion, click “Next”.

Remark:

Data field

Instruction / Data to be inputted

User Type

Choose the relevant user type

Preferred User ID

The "Preferred User ID" must be alphanumeric (A-Z, a-z & 0-9) and be between 8 and 20 characters long.  It should not contain space or special characters. User ID is non-case-sensitive.

Note: Remember your inputted preferred User ID as it will not be shown in subsequent confirmation page or activation email for security reason.

Have you registered before

§  This check box will not be available if you are going to register as listed corporation user.

§  Select “No” if you have not registered before (Step 2 will be skipped automatically if you choose “No”.)

§  Select “Yes” if you have another active User ID. You will be brought to Step 2 to merge previous registered User ID with the User ID you are now registering.

Enter the characters in the image

Enter the number as displayed in the image.


STEP 2 – MERGE USER ID(s) (IF APPLICABLE)

 

If you have chosen “Yes” in Step 1, you will be brought to Step 2 to provide User ID of your previous registered User ID (refer to number bubble 6). After completion, click “Confirm” (refer to number bubble 7). 

Note:

1. As each individual or corporate user is advised to register for one User ID only, if the user has registered a User account before, the system will ask the user to provide the previous registered User ID in this step for consolidating User IDs.

2. Previous User ID provided here will be deactivated once the new User ID is activated through activation email.

3. After User IDs are being merged, the system will consider the DI notices filed by the merged User IDs will be regarded as being filed by same entity as the new user. This will determine how the DI filings are consolidated under HKEX DI web search.

 

Data field

Instruction / Data to be inputted

Previous registered User ID

Provide your previous registered User ID

Note: User ID not yet activated is not accepted

Registered Email Address of the above User ID

Provide registered email address for the previous registered User ID

Security Question

Upon completion of the above 2 fields, security question will be prompted. Please provide answer to it.

Clear

Click “Clear” if you want to clear the content

Confirm

Click “Confirm” after completion

 

You will see the previous registered User ID added to the list (refer to the highlighted box). Then click “Next” (refer to number bubble 8).

STEP 3 – PROVIDE USER PROFILE INFORMATION

      Fill in the user details (refer to number bubble 9; details for individual/ corporate users are presented in different screens). After completion, click “Next” (refer to number bubble 10).

Note: Profile information inputted here will be pre-filled to the DI Forms if user downloads DI Form after logging into DION System. In the future, user may log into DION System to update profile information by using “User Profile Maintenance” function.

Remark/ example:

Data field

 

Instruction / Data to be inputted

Name of Individual Substantial Shareholders/ Directors/Chief Executives

Surname (English)

Chan

Other Names (English)

Tai Man

Name (Chinese)

陳大文or check the box “Not Applicable” if not applicable

Chinese Character Code

123400005678 (If you check the box “Not Applicable” above, you are not required to input Chinese Character Code)

HKID / Passport / PRC Resident Card

If you are inputting "HKID", please input in the format of A123456(7)

 

If the filer chose “Others”, he/she needs to provide details of his/her identification document.

Country of Issue of Passport

Applicable if you selected “Passport” above

Address

ABC Tower, ABC Road, Hong Kong

Daytime Telephone number

22221111

Email Address

A@A.com

Re-type Email Address

A@A.com

Exchange on which it is Listed

N/A

Name of Listed Parent and Exchange on which Parent is Listed

N/A

 

 

Remark/ example:

Data field

Instruction / Data to be inputted

Name of Corporate Substantial Shareholder/Corporate Director/Chief Executive

ABC Ltd.

Registered Office

ABC Tower, ABC Road, Hong Kong

Principal Place of Business in Hong Kong

ABC Tower, ABC Road, Hong Kong

Place of Incorporation

Hong Kong

Certificate of Incorporation Number

HK01

Contact Person

Chan Tai Man

Daytime Telephone Number

22221111

Email Address

A@A.com

Re-type Email Address

A@A.com

 

STEP 4 – PROVIDE USER ACCOUNT MAINTENANCE INFORMATION

 

Select 3 different security questions and provide answers (refer to number bubble 11). Input registered email address or click the check box (refer to number bubble 12) if the registered email address is the same as the email address inputted in “General Information” section. Click “Next” to proceed (refer to number bubble 13).

 

Note:

Security questions and answers will be used when you need to reset your forgotten password or to merge User ID(s).

Registered email address will be used to activate User ID, retrieve forgotten User ID and merge User ID. The system accepts using the same registered email address for different User IDs.

STEP 5 – READ AND ACCEPT TERMS AND CONDITIONS

 

Read the terms and condition and privacy policy statement. If you agree with the terms and conditions, click “Agree and Proceed” (refer to number bubble 14).

STEP 6 – ACKNOWLEDGEMENT PAGE

 

You will find a system generated reference number (refer to the highlighted box) on the acknowledgement page. You may save or print this page for record.

 

Note: You need to activate your User ID before logging into DION System. Please check the mailbox of registered email address, read the mail and activate (refer to number bubble 15 to 17) the User ID within 3 calendar days through the link provided.

Note: Your new password must contain a combination of letters (both upper & lower case) and numbers (0-9) and be between 10 and 15 characters long.


 

Download DI Form

 

DI Forms are available in Adobe Portable Document format (PDF) or in Microsoft Excel format. If you are a Windows user, you may download and file a notice using either format. If you are a Mac, you may only download and file a notice in PDF. 

 

(i) Download blank DI Forms

Click “” on the top left corner (refer to number bubble 1) before logging in.

Click "Download DI Form" (refer to number bubble 2).

Note: You may download DI Form in a different language (refer to number bubble 4) by clicking (ENG | 繁體 | 簡体) (refer to number bubble 3) on the top right corner.

 

 

(ii) Download Pre-filled DI Form

 

Log into DION System

Click “Login” on the top right corner (refer to number bubble 1). Input login details (refer to number bubble 2) and click “Login” button (refer to number bubble 3).

 

Download DI Form

 

Choose “Download DI Form” from the top left menu bar (refer to the highlighted box).

 

Note: Forms downloaded after logging into DION System will be pre-filled with logged in user profile information. Also, only form type(s) relevant to the logged in user will be available.

 

User Type

DI Form type available for downloading after logging in

Individual

Form 1, Form 3A, 3B, 3C, 3D

Corporate

Form 2, Form 3A, 3B, 3C, 3D

Listed Corporation

Form 4

 

Form Submission

To submit DI Form, user should log into DION System with the User ID.

 

Remark:

User Type

Form type available for submission

Maximum no. of DI Forms to be uploaded in each submission

Other documents to be uploaded (if applicable)

Individual user

Form 1, Form 3A, 3B, 3C, 3D

10 DI Forms

Concert party document

Corporate user

Form 2, Form 3A, 3B, 3C, 3D

10 DI Forms

Concert party document

Listed Corporation user

Form 4

1 DI Form

Investigation report + Concert party document

Special reports

(by listed corporations exempted under s.309 SFO)

10 reports

N/A

 

(i)/ (ii) Submission of DI Forms by Individual/ Corporate User

LOGIN AND GO TO SUBMISSION FUNCTION

 

Log into DION System by clicking “Login” on the top right corner (refer to number bubble 1). Input login details (refer to number bubble 2) and click “Login” button (refer to number bubble 3).


Click "" to open the function menu on the top left hand corner (refer to number bubble 4).

 

Click

(i) "Submit DI Form 1, Form 3A, Form 3B, Form 3C or Form 3D". – For Individual user (refer to number bubble 5 – highlighted function).

(ii) "Submit DI Form 2, Form 3A, Form 3B, Form 3C or Form 3D". – For Corporate user (refer to number bubble 5 – highlighted function)

Read the warning message and click "Continue" (refer to number bubble 6).

 

STEP 1 – UPLOAD DI FORMS

 

Click "Browse" (refer to number bubble 7) to select the completed DI Forms from your computer folder.

You may select up to 10 DI Forms (refer to number bubble 8) and click “Open” (refer to number bubble 9).

Please click "Start Upload" to upload the forms (refer to number bubble 10).


Note:

 

During the uploading process, the system will perform online validation. Upload bar will turn green, yellow or red to indicate whether the forms are ready for submission. If upload bar turns red, filer must remove the form, make correction to the form and upload it again. Sometimes errors may be related to inconsistency between logged in user profile and data input in the DI Form. User may need to update either the DI Form or profile information within DION System before the form can be submitted successfully.

 

Green upload bar

DI Form has passed all validation and is ready for submission

Yellow upload bar

DI Form data and system information do not match while DI Form can still be submitted if filer considers amendment is not necessary.

Red upload bar

DI Form cannot pass validation and filer is required to remove the form and make revision and upload the file again.

 

User type

DION System profile details that are required to match the DI Form uploaded

Individual user

1. Name of substantial shareholder (English)

2. HKID/Passport/PRC Resident Card No.

3. Name of substantial shareholder (Chinese)

4. email address

Corporate user

1. Name of substantial shareholder

2. Place of incorporation

3. Certificate of incorporation No

4. email address

Listed corporation user

1. Stock code of listed corporation

2. email address of individual filing this Form 4

 

User may also preview the form using “Preview” button against each form. When all DI Forms are ready for submission, click “Next” to proceed (refer to number bubble 12).

 

STEP 2 – RE-ARRANGE FORM ORDER

 

Note:

This step will be skipped automatically if it is irrelevant to your submitted form(s).

 

If the system has detected two or more DI Forms of the same type with the same “date of relevant event”, user may select the form (refer to number bubble 13) and re-arrange the order using the “Move Up” and “Move Down” buttons (refer to number bubble 14).  By default, the system will assign the display sequence based on the user's submission order.

 

When the re-arrangement is completed, the user can click "Next" (refer to number bubble 15) to upload the Concert Party Documents.

 

 

STEP 3 – UPLOAD CONCERT PARTY DOCUMENT(S)

 

Note:

This step will be skipped automatically if it is irrelevant to your submitted form(s) (i.e. if you have uploaded Form 3B, 3C or 3D only)

 

Click "Browse" (refer to number bubble 16) below the DI Form file name which is required to upload concert party document(s).

 

Select the concert party document(s) (refer to number bubble 17) to be submitted and then click “Open” (refer to number bubble 18).

Click "Start Upload" (refer to number bubble 19) to upload the Concert Party Documents.

When ready for submission, click "Submit" to continue (refer to number bubble 20).

Note:

There will be alert message(s) if the number of concert party documents uploaded does not match the number as stated in the DI Form. You may choose to continue your submission or to make appropriate correction before submission.

 

STEP 4 – ACKNOWLEDGEMENT

 

You will find a system generated serial number on the acknowledgement page. You may save or print this page for record.

 

(iii) Submission of DI Forms by Listed Corporation User

 

Submit Form 4

LOGIN AND GO TO SUBMISSION FUNCTION

 

Log into DION System by clicking “Login” on the top right corner (refer to number bubble 1). Input login details (refer to number bubble 2) and click “Login” button (refer to number bubble 3).

Click "" to open the function menu on the top left hand corner (refer to number bubble 4).
 

Click "Submit DI Form 4" (refer to number bubble 5).

 

Read the warning message and click "Continue" (refer to number bubble 6).

 

STEP 1 – UPLOAD DI FORM 4

 

Click "Browse" (refer to number bubble 7) to select from file directory DI Form 4 to be submitted (refer to number bubble 8) and click “Open” (refer to number bubble 9).

Click "Start Upload" (refer to number bubble 10) to upload the form and click “Next” after completion (refer to number bubble 11).

 

Note:

During the uploading process, the system will perform online validation. Upload bar will turn green, yellow or red to indicate whether the forms are ready for submission. If upload bar turns red, filer must remove the form, make correction to the form and upload it again. Sometimes errors may be related to inconsistency between logged in user profile and data input in the DI Form. User may need to update either the DI Form or profile information within DION System before the form can be submitted successfully.

 

Green upload bar

DI Form has passed all validation and is ready for submission

Yellow upload bar

DI Form data and system information do not match while DI Form can still be submitted if filer considers amendment is not necessary.

Red upload bar

DI Form cannot pass validation and filer is required to remove the form and make revision and upload the file again.

 

User type

DION System profile details that are required to match the DI Form uploaded

Individual user

1. Name of substantial shareholder (English)

2. HKID/Passport/PRC Resident Card No.

3. Name of substantial shareholder (Chinese)

4. email address

Corporate user

1. Name of substantial shareholder

2. Place of incorporation

3. Certificate of incorporation No

4. email address

Listed corporation user

1. Stock code of listed corporation

2. email address of individual filing this Form 4

 

Example of red upload bar:

STEP 2 – UPLOAD INVESTIGATION REPORT(S) AND/OR CONCERT PARTY DOCUMENT(S)

 

Click "Browse" (refer to number bubble 12) to select Investigation Reports from the file directory. Select file (refer to number bubble 13) and then click “Open” (refer to number bubble 14).

Click "Start Upload" (refer to highlighted box) to upload the investigation report.

 

Click "Browse" (refer to number bubble 15) to select Concert Party Documents from file directory. Select file (refer to number bubble 16) and then click “Open” (refer to number bubble 17).

Note: You may upload up to 10 concert party documents here.

 

Click "Start Upload" (refer to number bubble 18) to upload the Concert Party Documents and click “Submit” (refer to number bubble 19) after completion.

 

Note: There will be alert message(s) if the number of concert party documents uploaded does not match with the number as stated in the DI Form. You may choose to continue your submission or to make appropriate correction before submission.

 

The investigation reports will not be published on the HKEX website. The public cannot access the documents. The Concert Party Documents can be viewed on HKEX website.

STEP 3 – ACKNOWLEDGEMENT

 

You will find a system generated serial number on the acknowledgement page. You may save or print this page for record.


Submit Special Report (For Listed Corporations Exempted under s.309 SFO)

LOGIN AND GO TO SUBMISSION FUNCTION

 

Log into DION System by clicking “Login” on the top right corner (refer to number bubble 1). Input login details (refer to number bubble 2) and click “Login” button (refer to number bubble 3).

 


Click ""(refer to number bubble 4) to open the function menu on the top left hand corner and select “Submit Special Reports exempted under s.309” (refer to number bubble 5).

 

STEP 1 - DISCLAIMER

 

Click the check box to confirm the Listed Corporation User has been granted an exemption and then click “Next” (refer to number bubble 6).

 

STEP 2 – UPLOAD s.309 SPECIAL REPORTS

 

Click "Browse" (refer to number bubble 7) to select from file directory the special report(s) (refer to number bubble 8) to be submitted and click “Open” (refer to number bubble 9). Click “Start Upload” to upload the report(s). After the report(s) has/have been uploaded, please click "Submit" (refer to number bubble 10).

 

Note:

1.    Support PDF and MS Word format.

2.    User may upload up to 10 Special Reports in each submission.

3.    Maximum size of each uploading file is 5MB.

4.    If the uploaded report is a revision to a previous submitted report, please check the "Revised" box against the report and input the serial number of the report to be revised.

 

STEP 3 – ACKNOWLEDGEMENT

 

You will find a system generated serial number on the acknowledgement page. You may save or print this page for record.

 

Change Login Password

 

Log into DION System by clicking “Login” on the top right corner (refer to number bubble 1). Input login details (refer to number bubble 2) and click “Login” button (refer to number bubble 3).


Click "" (refer to number bubble 4) to open the function menu on the top left hand corner.

Click "Change Password” (refer to number bubble 5).

 

Input current password, new password and confirm new password fields (refer to number bubble 6). Click “Submit” to confirm (refer to number bubble 7).

Note:

1.    Password is case-sensitive.

2.    Password should be a combination of letters (both upper & lower case) and numbers (0-9), ranging from 10 to 15 characters.

3.    Upon successful updating, the system will notify the user that "The password is changed."

User Profile Maintenance

After log into DION System, click "" (refer to number bubble 1) to open the function menu on the top left corner and then click "User Profile Maintenance” (refer to number bubble 2)

 

Under “User Profile Maintenance” function, user may maintain the following User ID information under the following 3 tabs.

 

Note:

1. To update the respective information, user is required to select the tab right after entering the “User Profile Maintenance” function.

2. Remember to save change/ confirm at each tab before the information maintained with the system can be updated.

3. Facilities in the same tab cannot be updated simultaneously. E.g. User cannot update registered email address and merge User ID in a single process. User is required to update registered email address and merge User ID in two updating processes.

 

(i) Update profile information

 

Under "User Profile Maintenance” function (refer to number bubble 1), click on the 1st tab “Profile Information” (refer to number bubble 2). Then update the profile information (refer to number bubble 3). After completion, click “Save Changes” button (refer to number bubble 4) to confirm the updates.

 

Note:

1. After user has successfully updated the profile information, the corresponding updates will be reflected in the newly downloaded pre-filled DI Forms.

2. Certain key profile information stated in the DI Form must match the DION System record. You are advised to keep the profile information up-to-date.

 

User type

DION System profile details that are required to match the DI Form uploaded

Individual user

1. Name of substantial shareholder (English)

2. HKID/Passport/PRC Resident Card No.

3. Name of substantial shareholder (Chinese)

4. email address

Corporate user

1. Name of substantial shareholder

2. Place of incorporation

3. Certificate of incorporation No

4. email address

Listed corporation user

1. Stock code of listed corporation

2. email address of individual filing this Form 4

 

(ii) Merge User ID (only available for individual and corporate user)

 

Under "User Profile Maintenance” function, click on the 2nd tab “User Profile Maintenance” (refer to number bubble 1). Then input the previous registered User ID to be merged with current User ID (refer to number bubble 2). After completion, click “Confirm” button (refer to number bubble 3). The previous registered User ID will be updated in the “List of merged User ID(s)” (refer to number bubble 4). Upon completion, click “Save Changes” button (refer to number bubble 5) to confirm the update.

 

Note:

1. After you click “Save Changes”, the previous registered User ID will be deactivated automatically.

2. Users can merge one or more User ID(s).

3. After User IDs are being merged, the DI notices filed by the merged User IDs will be regarded as being filed by same entity as the current user. This will determine how the DI filings are consolidated under HKEX DI web search.

 

Data field

Instruction / Data to be inputted

Previous registered User ID

Provide your previous registered User ID

Note: User ID not yet activated is not accepted

Registered email address of the above User ID

Provide registered email address for the previous registered User ID

Security Question

Upon completion of the above 2 fields, security question will be prompted. Please provide answer to it.

Close

Click “Close” if you want to cancel the update

Confirm

Click “Confirm” after completion

 

(iii) Security questions and answers maintenance

 

Under "User Profile Maintenance” function, click on the 2nd tab “User Profile Maintenance” (refer to number bubble 1). Then modify/update the security questions and answers (refer to number bubble 2). Click “Save Changes” button (refer to number bubble 3) to confirm the update.

 

Note:

Security questions and answers will be used when you need to reset your forgotten password or to merge User ID(s).

 

(iv) Registered email address

 

Under "User Profile Maintenance” function, click on the 2nd tab “User Profile Maintenance” (refer to number bubble 1). Then click on the “Set Registered Email address” button (refer to number bubble 2). Enter the new registered email address (refer to number bubble 3) and click “Confirm” (refer to number bubble 4).

 

Note:

1. Registered email address will be used to activate User ID, retrieve forgotten User ID and merge User ID. The system accepts using the same registered email address for different User IDs.

2. The system will not update the new registered email address until user has verified the new registered email through an email sent to the new registered email address.

3. The system will show the original registered email address until the new registered email address becomes effective.

 

 

(v) Deactivate User ID

 

Under "User Profile Maintenance” function, click on the 3rd tab “Deactivate this User Account” (refer to number bubble 1). Input user account passwords (refer to number bubble 2) and click “Deactivate this account” (refer to number bubble 3).

 

Note:

1. A dialog box will be prompted to ask you to reconfirm if you are going to deactivate this User ID. Choose “Yes” if you are going to deactivate this User ID.

2. Once user has confirmed the deactivation, user will be logged out immediately and cannot log into DION System any more by using the deactivated User ID. There is no way to restore the deactivated User ID.

3. Deactivated User ID cannot merge with any other User ID.

 

Retrieve Forgotten User ID

 

If User ID was forgotten, user can retrieve the User ID by providing the registered email address used for that User ID. The system will send all User ID(s) registered under that registered email address.

1.       Click “Login” on the top right corner (refer to number bubble 1) and then click the link “Forgot User ID” (refer to number bubble 2). Fill in the registered email address (refer to number bubble 3) of the forgotten User ID. Then, input the characters in the image (refer to number bubble 4) and click “Submit” (refer to number bubble 5).

2.       The system will send an email to the registered email address. All User IDs registered under this registered email address will be listed in the email.

 


 

Forgotten Password

 

If you have forgotten your User password or if your User ID has been locked after 5 consecutive unsuccessful login attempts, user can reset and unlock User ID after providing User ID, registered email address and answer to the security question. If correct information is provided, the system will send an email to the registered email address with a link to reset user password.

1.       Click “Login” on the top right corner (refer to number bubble 1) and then click the link “Password” (refer to number bubble 2). Fill in the User ID and registered email address (refer to number bubble 3). Input the characters in the image (refer to number bubble 4) and click “Next” (refer to number bubble 5). A security question will be posted. You need to provide the answer (refer to number bubble 6) and click “Submit” (refer to number bubble 7).

2.       The system will send an email to the registered email address. User may use the reset password link provided in the email to reset and unlock the user account.

 

Listed corporation using E-Submission System (ESS) user account to login DION System

 

(i) Login

 

The DION System will notify the listed corporations by email upon receipt of DI notices through DION System. The email notification will be sent to ESS users’ (AP with DION System access rights/ ESS DI user) email address. Such user should log into DION System by using his/her ESS User ID and password through the link https://sdinotice.hkex.com.hk/notification to retrieve DI filing(s) and related document(s) filed for his/her listed corporation.

 

Enter URL https://sdinotice.hkex.com.hk/notification (refer to number bubble 1). Click “Login” on the top right corner (refer to number bubble 2) and enter the ESS User ID and password (refer to number bubble 3). Then, input the characters in the image (refer to number bubble 4) and click “Login” (refer to number bubble 5).

 

 

Note:

1. All ESS users should maintain their account information through ESS website. (https://www1.esubmission.hkex.com.hk/)

2. To ensure the notification email can be delivered in an accurate and timely manner to the listed corporation, the AP/DI ESS user should always keep his/her profile information up-to-date in ESS.

3. It is possible to set more than one email address for each ESS AP/ DI user account. Please input semi-colon between emails in format of a@Alistedcorp.com; b@Alistedcorp.com


(ii) Download copy of DI Form(s) and attachment(s)

 

After logged into DION System, click "" to open the function menu on the top left corner (refer to number bubble1). Select “Download Copy of DI Forms and Attachments” (refer to number bubble 2). User will see DI Forms filed on current date. User may define search criteria (refer to number bubble 3) and click “Search” (refer to number bubble 4) to narrow down the display of DI Form(s) and attachment(s).

 

 

Note:

1. Only DI Forms and related documents filed within 90 calendar days are available for downloading.

2. User may use batch download function to download selected DI Forms and related documents in zip file.

3. By default, user will see all DI Form(s) filed on current date.

 

To download DI Form(s) and attachment(s), please select the forms or click check box of “All” to the left of serial number (refer to number bubble 1) and then click “Download selected forms and attachments” (refer to number bubble 2).

 

Note:

User may also click on the link under “DI Form”/ “DI Form Attachment(s)” column to download the specific DI Forms/attachments.

 

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