Online Registration for login User ID of Disclosure of Interests Online System
Tips:
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User Type :
- If you are an individual substantial shareholder, director or chief executive of a listed corporation, please register as “Individual Substantial Shareholders / Directors / Chief Executives”.
- If you are a corporate substantial shareholder, director or chief executive of a listed corporation, please register as “Corporate Substantial Shareholders / Directors / Chief Executives”.
- If you are a listed corporation that (i) is required by section 330(1) or 333(1) under Part XV of the SFO (Cap.571) to notify SEHK of the information received pursuant to s.329 or (ii) is to file special notifications exempted under s.309, please register as “Listed corporations”.
- Each individual/corporation is advised to register one DION user account only. DI filings made with different DION user accounts will be treated as if they were filed by different individuals/corporations. This also determines how the DI search results are being grouped and displayed on HKEX websites. If you have registered before and are going to be registered again, you should select “Yes” and provide your previous registered user ID in Step 2 (next page) to indicate that the specified accounts are referring to the same individual/corporation.
* represents a mandatory field
| User Type | * |
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| Preferred User ID | * |
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| Have you registered before? Step 2 is not applicable if you choose “No” |
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| Enter the characters in the image | * |
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Tips:
Merge User ID function is available under profile maintenance function after user login the system. If you do not have enough information to fill in step 2 here, you may go back to step 1 and choose “No” and update “Merge user ID” when you login the user account upon your account activation.
* represents a mandatory field
User can merge previous registered User ID(s) into this new User ID. |
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| Previous registered user ID(s): | ||
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Important Note: The above previous registered user ID(s) will be deactivated once this new user ID is activated. |
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* represents a mandatory field
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Please note the following information will be pre-filled in the DI form(s) downloaded after login. |
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| Surname (English) (Printed on HKID Card/Passport) |
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English name is not applicable |
| Other Names (English) (Printed on HKID Card/Passport) |
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| Name (Chinese) (Printed on HKID Card/Passport/PRC Resident Card) |
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Not applicable |
| Chinese Character Code (Printed on HKID Card) |
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| HKID Card/Passport/PRC Resident Card No. | * |
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| Country of Issue of Passport |
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| Address | * |
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| Daytime Telephone Number | * |
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| Email Address | * |
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| Re-type Email Address | * |
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Please note the following information will be pre-filled in the DI Form 4 downloaded after login. |
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| Stock Code Only currently listed corporation can be registered here |
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| Registered Office | * |
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| Contact Person | * |
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| Position of Contact Person | * |
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| Correspondence Address of Contact Person | * |
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| Daytime Telephone Number | * |
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| Email Address | * |
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| Re-type Email Address | * |
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Personal data collected through the Disclosure of Interests Online System will not be used for direct marketing purposes and will be processed in line with the HKEX Privacy Policy.
* represents a mandatory field
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Please select 3 different security questions and provide answers to them. They will be used in case you need to merge your registered user ID(s) or to retrieve forgotten password. |
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| Security Question 1 | * |
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| Answer | * |
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| Security Question 2 | * |
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| Answer | * |
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| Security Question 3 | * |
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| Answer | * |
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Please input the email address to be used for account activation purpose. Upon successful registration, account activation email will be sent to this email address to activate this user ID. Besides, this email address will be used for resetting password, retrieving forgotten user ID and user account maintenance purpose. |
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Same as Email Address inputted in User’s information section |
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| Registered Email Address (It can be changed under profile maintenance function after you login.) |
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| Re-type Registered Email Address | * |
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Terms and Conditions
1. Interpretation
Unless the context otherwise requires, terms used herein shall bear the meanings as follows:
| DI Form(s) | means Forms 1, 2, 3A, 3B, 3C, 3D and 4 as prescribed by the SFC in respect of the notifications to be given pursuant to Part XV of the SFO; |
| Disclosure of Interests Online (“DION”) System | means the Internet based electronic filing and form downloading system operated by HKEX as approved by the SFC for (a) submitting the completed DI Form(s) together with any relevant attachments by a User to the Exchange in accordance with Part XV of the SFO; and (b) downloading the DI Form(s) filed with the Exchange by a listed corporation; |
| Exchange | means The Stock Exchange of Hong Kong Limited, including its successors and assigns; |
| HKEX | means Hong Kong Exchanges and Clearing Limited, including its successors and assigns; |
| Nominated User | means the person whom the User has nominated and authorised to use the User ID and password to log on to the DION System; |
| SFC | means the Securities and Futures Commission; |
| SFO | means the Securities and Futures Ordinance (Cap. 571 of the Laws of Hong Kong); |
| Shareholding Disclosure Information | means the information contained in the completed DI Forms and the relevant attachments filed through the DION System by a User; |
| substantial shareholder(s) | means an individual or corporation who is interested in 5% or more of any class of voting shares in a listed corporation; |
| Terms and Conditions | means these terms and conditions, as amended from time to time; |
| User | means (a) an individual substantial shareholder, director or chief executive of a listed corporation; (b) a corporate substantial shareholder, director or chief executive of a listed corporation; or (c) a listed corporation, all having registered with HKEX to use the DION System; and |
| Website | means the particular page of the official website of HKEX which is designated for the publication of the Shareholding Disclosure Information. |
2. Services
The DION System may be accessed by a User for the following purposes:
(a) for individual substantial shareholders, directors and chief executives of a listed corporation: to submit Forms 1, 3A, 3B, 3C, 3D (as applicable) and any relevant concert party documents;
(b) for corporate substantial shareholders, directors and chief executives of a listed corporation: to submit Forms 2, 3A, 3B, 3C, 3D (as applicable) and any relevant concert party documents;
(c) for listed corporations: to submit Form 4, any relevant investigation reports/concert party documents and the special reports exempted under section 309 of the Securities and Futures Ordinance (Cap. 571 of the Laws of Hong Kong); and
(d) for listed corporations: to download the DI Forms and attachments concerning the listed corporation.
The User acknowledges that the DION System is a means for a User to submit the completed DI Form(s) together with any relevant attachments to the Exchange in accordance with Part XV of the SFO. No advice is given by HKEX on how to complete the DI Forms. The User may refer to the Outline of Part XV issued by the SFC which gives extensive guidance on the situations in which a DI Form will have to be filed and related matters. Please refer to the SFC's website at https://www.sfc.hk/-/media/EN/assets/components/codes/files-current/web/outline-of-part-xv-of-the-securities-and-futures-ordinance-cap571-disclosure-of-interests/outlineofpartxvofthesecuritiesandfuturesordinancecap571disclosureofinterests.pdf. The User may also refer to the directions and instructions published by the SFC for the completion of each DI Form or seek professional advice.
3. Acknowledgement of the Terms and Conditions
(a) The User acknowledges that the access to and the use of the DION System are subject to these Terms and Conditions.
(b) HKEX reserves the absolute right, at its sole discretion, to vary these Terms and Conditions in any way and at any time, subject to such variation having been drawn to the attention of the User by an explicit statement on the special announcement window of the DION System highlighting the variation. By logging onto and/or continuing to use the DION System, the User specifically accepts these Terms and Conditions as varied. A reference in these Terms and Conditions to the User logging onto the DION System, or continuing to use the DION System, or otherwise accessing the DION System, shall include any such act done by any person using the User ID and password (whether authorised by the User or not).
(c) It is expressly acknowledged by the User and each Nominated User using the User ID and password and the DION System that the Nominated User is acting on behalf of the User and has the authority to act on its behalf.
4. Proper use of the User ID and Password
(a) The User shall act in good faith, exercise reasonable care and diligence in keeping confidential its User ID and password. The User shall procure that all Nominated Users with access to the DION System are aware of and comply with these Terms and Conditions.
(b) The User shall be fully responsible for any access to and use of the DION System by its Nominated Users, any accidental or unauthorised disclosure of its User ID and password to any other person and any unauthorised access to and use of the DION System arising therefrom. The User is solely responsible for any damage and liability (including costs, legal costs and expenses) caused to HKEX in connection with or arising from such unauthorised access and use. If the User becomes aware of or has reasonable grounds to suspect any actual or possible unauthorised use of its User ID and password, it shall notify HKEX by phone at such phone number as HKEX may from time to time prescribe and shall confirm the same in writing as soon as practicable immediately afterwards to HKEX. HKEX will forthwith take steps to cancel or invalidate the applicable User account(s).
5. Delivery of and warranty regarding Shareholding Disclosure Information
(a) General requirements
(i) All DI Forms and any relevant attachments shall be submitted to the DION System in a virus-free electronic format.
(ii) The User acknowledges that the Internet is, due to unpredictable traffic congestion and other reasons, an inherently unreliable medium of communication and that such unreliability is beyond the User’s or HKEX’s control. As such, there may be delays in the transmission and receipt of the DI Forms and the relevant attachments through the DION System. The User further acknowledges that it is impossible to maintain foolproof security. HKEX shall not be liable for any unauthorised access to the DION System by any third party.
(iii) In the event that the DION System cannot be accessed by the User during normal operational hours of the DION System (whether, as announced by HKEX, due to a technical default, malfunction or breakdown in the DION System), the User may submit DI Forms and any relevant attachments in accordance with the alternative means and procedures specified by HKEX and/or SFC from time to time or in such other manner as may be determined and promulgated by HKEX and/or SFC from time to time.
(b) Publication of Shareholding Disclosure Information
(i) HKEX represents and the User acknowledges and agrees that the DION System is a “passive conduit”. As such, HKEX does not have any control over or does not screen the content of the DI Forms and the relevant attachments submitted through the DION System for publication on the Website. HKEX neither accepts nor assumes any obligation in relation to publication of any Shareholding Disclosure Information passing through the DION System. HKEX has the right, but not the obligation, to refuse or remove the publication of any Shareholding Disclosure Information at its Website or its server or block access over the Internet at its sole discretion and for whatever reason.
(ii) Any Shareholding Disclosure Information submitted to the Exchange through the DION System by means of the User ID and password shall be deemed to be submitted by the User.
6. Disclaimer of liability
(a) The User acknowledges that use of the DION System is provided on an "AS IS, AS AVAILABLE" basis and without warranty or condition of any kind, either expressed or implied.
(b) It is the sole responsibility of the User to ensure that all DI Forms and the relevant attachments submitted by it are accurate and compliant with all laws and regulations. HKEX assumes no responsibility of any kind for any submission made through the DION System. HKEX shall not be liable or responsible (whether in tort, contract or otherwise) for any claim for any losses or damages of any kind (whether direct or indirect) whatsoever and howsoever arising from the use of the DION System or any related system or software including any mishandling, omission, non-delivery, delay, negligent or unauthorised use of the DION System or of the User ID and password.
(c) HKEX shall not be liable for any action taken or for any failure, hindrance or delay in the performance in whole or in part of HKEX’s obligations under these Terms and Conditions if such action, failure, hindrance or delay arises out of causes beyond the control of HKEX. Such causes may include, but shall not be limited to, acts of God or the public enemy, acts of a civil or military authority, embargoes, sanctions, fires, floods, explosions, accidents, labour disputes, mechanical breakdowns, computer or system failures or other failures of equipment, failures of or defects in computer or system software, computer damage due to unauthorised programming routines, unavailability of or restrictions on any communication media for whatever reason, interruptions of power supplies, any law, decree, regulation or order of any government, competent authority, supranational bodies or any court or tribunal and any other causes beyond the control of HKEX.
(d) The User agrees and acknowledges that the exclusion or limitation of liability in these Terms and Conditions is reasonable for the protection of HKEX but, if for any reason under any applicable laws that the exclusion or limitation of certain types of liability may not be permitted, the liability of HKEX will be excluded or limited to the maximum extent permissible by the applicable laws.
7. Suspension of the DION System
HKEX shall be entitled, in its sole discretion, to temporarily suspend all or part of the DION System in order to upgrade or modify the DION System or any related systems or software and/or to restrict the User’s access to and use of the DION System where HKEX considers it reasonably necessary for the operation or maintenance of the DION System or any related systems or software. Such instances will be drawn to the attention of the User by an explicit statement on the special announcement window of the DION System.
8. Termination or suspension of User Account
HKEX may terminate or suspend the User’s access to the DION System with effect from any time as it considers appropriate for any reason including, without limitation, breach of these Terms and Conditions.
9. Representations and warranties by the User
The User hereby represents and warrants to HKEX that:
(i) all information provided to HKEX in relation to its application to become a User and all information which may subsequently be provided for the maintenance of its status as a User from time to time is complete, correct and accurate;
(ii) its subscription for use of the DION System and its acceptance and performance of its obligations under these Terms and Conditions have been duly authorised with all necessary corporate or third party approvals obtained and do not violate the constitutive documents of the User or any law, regulation or other agreement binding on the User;
(iii) these Terms and Conditions constitute a legally binding and enforceable contract; and
(iv) in relation to its using the DION System, it shall comply with all applicable laws and regulations, including but not limited, the SFO and the directions of the SFC.
10. Third Party Rights
No person other than HKEX and the User may enforce this Agreement by virtue of the Contracts (Rights of Third Parties) Ordinance (Cap. 623 of the Laws of Hong Kong).
11. Governing Law
These Terms and Conditions shall be governed by and construed in accordance with the laws of Hong Kong. HKEX and the User hereby submit to the exclusive jurisdiction of the courts of Hong Kong.
In the event of any discrepancy between the English and Chinese versions of these Terms and Conditions, the English version shall prevail.