From 3 July 2017, notifications and reports under Part XV of the Securities and Futures Ordinance must be filed electronically through Hong Kong Exchanges and Clearing Limited’s Disclosure of Interests Online System. Accordingly, substantial shareholders, directors and chief executives of listed corporations must submit Part XV notifications electronically using the prescribed forms with respect to their interests in securities of listed corporations. The latest prescribed forms (together with relevant directions and instructions for completion of the forms) are set out below:
| Forms and directions effective from 8 November 2025 |
||
|---|---|---|
| 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 |
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: 8 Nov 2025