• All new Broker Supplied System (BSS) to be connected to new/existing Orion Central Gateway - Securities Market (OCG-C)/ Drop-Copy/ China Connect Central Gateway (CCCG)/ China Connect Drop-Copy session are required to certify their system readiness by completing a Conformance Test, which consists of the following phases:

Phase 1 - Offline Simulator Test
Phase 2 - End-to-End Test
Phase 3 - Rollout Test

• The certification of BSS is on Exchange Participant (EP) basis and NOT on BSS vendor basis. EP should complete all Conformance Test phases in sequence. After completion of each phase of Conformance Test, EP is required to return the appropriate documents as specified in each section below to HKEX - Client Services. EP is also required to return the BSS Declaration and rollout notification prior to roll out its new BSS with OCG-C/ Drop-Copy/ CCCG/ China Connect Drop-Copy session.
• EP can appoint its BSS vendor(s) to perform the phase 1 and phase 2 Conformance Test on its behalf. Under this arrangement, EP and its appointed BSS vendor are also required to return the appropriate documents as specified in each section below to HKEX - Client Services.
• For OCG-C/ Drop-Copy/ CCCG/ China Connect Drop-Copy session rollout test, EP must conduct by itself.
• OCG-C is for trading purpose and does not provide market data. EP may obtain market data via licensed information vendors or subscribe HKEX Orion Market Data Platform – Securities Market (OMD-C) directly by contacting HKEX – Market Data (MarketData@hkex.com.hk).
• CCCG is for trading purpose and does not provide market data. EP may subscribe HKEX Orion Market Data Platform – China Connect (Securities) (OMD-CC) by contacting HKEX – Market Data (MarketData@hkex.com.hk) or subscribe market data directly from Shanghai and/or Shenzhen Stock Exchange and/ or via information vendors.

• Offline Simulator Test is phase 1 of Conformance Test.
• The simulator is a standalone Microsoft Windows based testing tool.
• The test package is available for download from Electronic Communication Platform (ECP). EPs can login ECP by using their production user ID and password. Applicants who are undergoing the application of SEHK Participantship or BSS vendors being appointed by their clients (i.e. EPs) to conduct the Offline Simulator Test on their behalf can contact HKEX - Client Services requesting for the test package.
• The test package contains a pre-defined set of test cases for EPs or their appointed BSS vendors to conduct the test. It enables them to verify message format developed for their BSS independently without the need of connecting to a HKEX testing system.
• The simulator also provides result verification reports for EPs to submit to HKEX - Client Services after successful execution of the simulator test.
• After completion of the simulator test, EPs (and their appointed BSS vendors) are required to return the relevant testing confirmation replies to HKEX - Client Services. If they are positive, EPs (and their appointed BSS vendors) can proceed to phase 2 End-to-End Test.

• End-to-End (E2E) Test is phase 2 of Conformance Test. It is conducted in E2E testing environment and is open from Monday to Friday (except public holidays and testing host maintenance day).
• E2E test acts as a functional verification test on BSS’s ability to connect to OCG-C/ CCCG for conducting trading activities. It is the responsibility of EPs to ensure their technical architecture (including network and system capacity and reliability, fail-over ability, etc.) has been properly set up to support their trading activities.
• The availability of weekday session for OCG-C/ Drop-Copy session can be referred to HKEX website under the section of Technical Documents.  There are 2 testing windows in OCG-C E2E testing environments.  First testing window is from 9am to 4pm and second testing window is from 5pm to 11pm. Hotline support service is available from 9am to 6pm.
• The availability of weekday session for CCCG/ China Connect Drop-Copy session can be referred to HKEX website under the section of Technical Documents. The trading hours of Shanghai market is from 9:10am to 11:47am and Shenzhen market is from 9:10am to 2:02pm or subject to availability as provided by Shanghai and Shenzhen Stock Exchanges. 
• Prior to conducting E2E Test, EPs or their appointed BSS vendors must :
  • have a testing line in place to connect to E2E testing environment and have testing device and broker number records already set up in E2E testing environment. In order to set up testing line connection in E2E testing environment, they should read the Connectivity Guide for OCG-C and Connectivity Guide for CCCG first, then complete the “Notification of Testing Line” and return it to HKEX - Client Services after setting a network appointment with network provider. HKEX - BSS Support will email the testing configuration such as testing Comp ID, broker number and etc. to EPs or their appointed BSS vendors around 1 week after receiving the duly completed Notification.
  • have a full-blown and completed BSS application to connect to testing OCG-C/ Drop-Copy/ CCCG/ China Connect Drop-Copy session in E2E testing environment.
  • submit a weekday testing booking form in advance to test for OCG-C/ Drop-Copy session while no weekday booking form is required to submit to test for CCCG/ China Connect Drop-Copy session.
  • download the test package from Electronic Communication Platform (ECP). EPs can login ECP by using their production user ID and password. Applicants who are undergoing the application of SEHK Participantship or BSS vendors being appointed by their clients (i.e. EPs) to conduct the E2E Test on their behalf can contact HKEX - Client Services requesting for the test package.  
• For OCG-C E2E test,
  
  • EPs or their appointed BSS vendors should use OTP-C End-to-End Test Portal (“Test Portal”) to record the OCG-C E2E test results while they continue to use SDNet/2 or HSTN to access to OCG-C E2E testing environment to conduct the test cases.
  • Test Portal is a secured web-based application (https://e2etest.hkex.com.hk/otpc) that allow user to:
    • get the test result right after each test case execution
    • submit E2E test results online after all test cases pass the verification
  • Access to Test Portal will be authenticated by means of user ID and password. Please complete the “OTP-C End-to-End Test Portal Application Form” and send it to bsssupport@hkex.com.hk by email. HKEX – BSS Support Team will provide the login details by email around 3 business days after receiving the duly completed application form.
  • Please use Google Chrome or Microsoft Edge browser to access Test Portal for better experience.
  • After completion of the E2E test, EPs (and their appointed BSS vendors) are required to submit below information to HKEX and if they are positive, EPs can proceed to phase 3 Rollout Test.
    • the relevant testing confirmation replies to HKEX - Client Services; and
    • OCG-C test result submit via Test Portal.
• For CCCG E2E test,
  
  • EPs or their appointed BSS vendors should use an execution checklist to record the test results while they continue to use SDNet/2 or HSTN to access to CCCG E2E testing environment to conduct the test cases.
  • After completion of the E2E test, EPs (and their appointed BSS vendors) are required to submit below documents to HKEX and if they are positive, EPs can proceed to phase 3 Rollout Test.
    • the relevant testing confirmation replies to HKEX - Client Services; and
    • CCCG Execution Checklist submit by email to bsssupport@hkex.com.hk in form of Excel File.

• Rollout Test is phase 3 or the last phase of Conformance Test.
• EPs must use their applied OCG-C/ Drop-Copy/ CCCG/ China Connect Drop-Copy session with production lines and to-be-production BSS to connect to HKEX production-like environment to conduct the test.
• The rollout test is conducted on a Saturday. It is usually scheduled once per month for OCG-C/ Drop-Copy session.  But for CCCG/ China Connect Drop-Copy session Rollout Test, it will depend on the feasibility by Shanghai Stock Exchange and Shenzhen Stock Exchange.  EPs need to submit a weekend testing booking form in advance to apply for weekend test session.
• There is no pre-defined test case. EPs are required to simulate their trading activities such as input/ amend/ cancel order, input trade and reject trade etc. to ensure their BSS are properly functional prior to rollout in production.
• After completion of the Rollout Test, EPs are required to return feedback forms to HKEX – Client Services. Subject to receipt of positive feedback forms, the signed BSS Declarations and the rollout notifications to HKEX - Client Services by giving not less than 1 week advance notice, EPs can rollout new BSS with OCG-C/ Drop-Copy/ CCCG/ China Connect Drop-Copy session.
• If EPs submit the form “Application for Exemption from Conducting Rollout Test” and related application is approved, EPs are also required to give not less than 1 week advance notice to HKEX – Client Services prior to rollout new BSS with OCG-C/ Drop-Copy/ CCCG/ China Connect Drop-Copy session.

EPs who wish to change/ enhance their BSS after rollout in production should observe the following procedures/ items:

• EP should complete the “BSS Change Notification” and return it to HKEX – Client Services by email.
• Upon receipt, HKEX – BSS Support will review the Notification and send an email to EP to indicate the type of Conformance Test to be done.
• EP may need to apply for weekday testing session and/ or weekend testing session by submission of the relevant booking form to HKEX - Client Services before conducting the test.
• After completion of the Conformance Test, EP should return the testing confirmation reply and execution checklist (if applicable) to HKEX - Client Services. If it is positive, EP can submit rollout notification to roll out its change/ enhanced BSS by giving not less than 3 trading days’ advance notice to HKEX.
• For details of the above procedures, please refer to Explanatory Note for BSS Change Notification.

EPs who are required to change their BSS connection information on OCG-C/ Drop-Copy/ CCCG/ China Connect Drop-Copy session after rollout in production should observe the following procedures/ items:

• EP should complete the “Requisition Form for Change of BSS Connection Information” and return it to HKEX – Client Services by email.
• EP should refer to the Explanatory Notes on Requisition Form to check the type of Conformance Test to perform and provide advance notice to HKEX - Client Services any changes to BSS connection information.
• EP who wishes to change any of the below BSS connection information to OCG-C/ Drop-Copy/ CCCG/ China Connect Drop-Copy session should inform HKEX - Client Services in advance or risking disconnection from Trading Host:
• add backup IP address or change the IP address under new or existing SDNet/2 or HSN.
• new installation of dual circuits for replacing the existing circuits (i.e. change the circuit number & IP address).
• cancel the Backup IP Address.
• relocation of existing circuits with or without change of IP Address.

Note 1: Although EP need not to conduct Offline Simulator Test and End-to-End Test, EP is still required to complete and return the respective confirmation reply to HKEX – Client Services for record purpose.

Note 2: If an EP wishes not to participate in the Rollout Test, EP is required to complete and return the “Application for Exemption from Conducting Rollout Test”.  Please note that the aforesaid exemption from conducting rollout test is not applicable to Market Making OCG-C session.

• OCG-C Prod-Lite (PL) testing environment is primarily aimed for EP’s functional testing. It is for EPs who have already completed conformance test for their BSS and wish to verify, after rollout, the changes on system parameter to meet their business and trading strategy under different market conditions without software modification on their BSS. It is not intended for high volume performance testing.
• The testing environment is open from Monday to Friday (except public holidays and testing host maintenance day) and the trading hours follows production trading timetable (i.e. from 9am to 4:10pm). The availability of weekday session for OCG-C PL testing environment can be referred to HKEX website under the section of Technical Documents.
• Its securities database, quotation rule and other market validation rule settings are synchronized with production Orion Trading Platform – Cash Market (OTP-C) every weekend.
• It carries EPs’ OCG-C Comp ID set up similar to production.
• EPs should login ECP by using their production user ID and password to download the OCG-C PL testing package and refer to OCG-C PL Testing Environment User Guide for the required setup prior to booking.

Testing Services' Forms for OCG-C/ Drop-Copy session

*Under specific conditions as prescribed in application forms and explanatory notes, EPs may apply exemption for certain test(s) described above.

Testing Services' Forms for CCCG/ China Connect Drop-Copy session

*Under specific conditions as prescribed in application forms and explanatory notes, EPs may apply exemption for certain test(s) described above.

For technical documents about OCG-C/ Drop-Copy session, please refer to OCG-C section.

For technical documents about CCCG/ China Connect Drop-Copy session, please refer to:

• Northbound Investor ID Model section

• Trading Calendar for Weekday Shanghai and Shenzhen Connect End-to-End Testing Environment

• Connectivity Guide CCCG

bsssupport@hkex.com.hk for technical enquiries or otpc@hkex.com.hk for general issues