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Forms, Checklists & Procedures

Application Forms and Checklist
Registration for the use of Shanghai and Shenzhen Stock Connect
Explanatory notes for registration for the use of Shanghai and Shenzhen Stock Connect
Checklist for assessing readiness for the use of Shanghai-Hong Kong Stock Connect and Shenzhen-Hong Kong Stock Connect
Checklist for assessing readiness for trading in China Connect Securities through China Connect Exchange Participant (“CCEP”) by Exchange Participant
Confirmation of Readiness for the Use of Shanghai-Hong Kong Stock Connect and Shenzhen-Hong Kong Stock Connect
Undertaking for the Use of Shanghai-Hong Kong Stock Connect
Undertaking for the Use of Shenzhen-Hong Kong Stock Connect
Device and Service Application Forms and Explanatory Notes
Stock Account Mapping Maintenance Form for the Use of Shanghai and Shenzhen Stock Connect
Confirmation of Readiness and Related Undertakings for the Use of Shanghai-Hong Kong Stock Connect and Shenzhen-Hong Kong Stock Connect by an Exchange Participant Intending to Become a Trade-through Exchange Participant
Special Segregated Account and Designated Executing Broker Maintenance Form
Procedures and Reporting forms
Stock Borrowing and Lending Arrangement
Short Selling Arrangement
Reporting of Trading Discrepancy / Error (For China Connect Securities Only)
Reporting of Trading Discrepancy / Error (For China Connect Securities in relation to Special Segregated Account only)
Quarterly Return on Trading Composition
Adjustment Request Form for Sellable Balance due to Outstanding Positions in China Connect Securities
Cash Prepayment Request Form

Updated 18 Jul 2017

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