PDF《香港联合交易所有限公司》

香港联合交易所有限公司 (香港交易及结算所有限公司全资附属公司) THE STOCK EXCHANGE OF HONG KONG LIMITED (A wholly-owned subsidiary of Hong Kong Exchanges and Clearing Limited) Our Ref: LD20170515/PMI/1249

15 May

2017 To: Main Board Listed Issuers (Attn: Authorised Representatives &

ESS Authorised Persons) GEM Listed Issuers (Attn: Authorised Representatives &

ESS Authorised Persons) Dear Sirs, Introducing the new Disclosure of Interests Online (DION) System We refer to the press release issued by the Government on

24 March

2017 concerning the commencement of mandatory electronic filing of disclosure of interests notifications and reports under Part XV of the Securities and Futures Ordinance (Cap.

571 of the Law of Hong Kong) (SFO)1 and the press release issued by the Securities and Futures Commission (SFC) on

5 May

2017 regarding the arrangements for electronic filing of disclosure of interests notifications (DI notices)2 . The new DION System To facilitate mandatory electronic filing and publication of DI notices, a new Disclosure of Interests Online (DION) System has been developed jointly with the SFC. The new DION System will be launched on

3 July

2017 when mandatory electronic filing takes effect (Effective Date). From the Effective Date onwards, the new DION System will replace the existing DI e-Filing system (https://sdinotice.hkex.com.hk). Substantial shareholders, directors and chief executives of listed corporations3 would need to first register with the DION System prior to submitting DI notices electronically. DION System training materials To assist users in filing DI notices through the DION System, the Exchange will make available the following training materials on its website in June 2017: ? Interactive web-based simulation programme;

? Forms submission demonstration videos;

and ? User guide on the DION System (including FAQs).

1 http://www.info.gov.hk/gia/general/201703/24/P2017032000373.htm

2 http://www.sfc.hk/edistributionWeb/gateway/EN/news-and-announcements/news/doc?refNo=17PR63

3 Currently, the SFC requires that provisions substantially equivalent to those in Part XV of the SFO be adopted in trust deeds of all SFC-authorised real estate investment trusts (REITs). Please refer to SFC'

s

15 December

2005 press release. Accordingly, REIT managers, their directors and chief executives, as well as any person who is interested in 5% or more of the units in an SFC-authorised REIT should also comply with the mandatory electronic filing provisions under Part XV of the SFO (with necessary adaptations) as if they were applicable to REITs.

2 The SFC will also publish on its website4 an update on the Outline of Part XV of the SFO (Cap. 571) C Disclosure of Interests on or before

3 July 2017. Notification to listed corporations From the Effective Date onwards, the Exchange will send an email notification to the listed corporation concerned when a DI notice is received through the DION System. The current Authorised Person(s) registered under the Exchange'

s e-Submission System (ESS Authorised Person(s)) will be allocated with a new ESS user ID and password to receive such email notification and access (i.e. viewing or downloading) to the complete set of DI notices and related documents received through the DION System. An ESS Authorised Person may delegate the right to access DI information to another person by appointing such person as a DI user in which case such appointed DI user will be allocated a DI user ID and password for receiving email notifications and accessing DI information. ESS Authroised Person intending to appoint a DI user should complete and return the attached DI user registration form (see Appendix) to the Primary Market Information team of the Listing Department by