Forms for HKCC/SEOCH Participants 
14/09/2017 
 

Removal of company chop requirement – With effect from 6 April 2017, a company chop will not need to be affixed to any forms or documents submitted to HKCC / SEOCH unless a Participant notifies HKCC / SEOCH that a company chop is required.  For more details, please refer to the Circular dated 6 March 2017.

*Form submission channel – All forms or documents can be submitted to HKCC / SEOCH in original.  Moreover, certain forms duly signed by the authorised signatory(ies) can also be submitted by email or fax as set out in the table below.  Please contact DCASS Hotline at 2979-7222 if you have any query of the submission channel.  

Additional Submission Channels*

Clearing and Settlement Operations Reference No.

Email

Fax

On-behalf Trade Adjustment Request Form - HKCC HKCC-Form 1

On-behalf Trade Give-up/Take-up Request Form - HKCC HKCC-Form 2

On-behalf Average Price Trade (APT) Request Form - HKCC HKCC-Form 3

On-behalf Internal Position Adjustment Request Form - HKCC HKCC-Form 4

External Position Transfer Request Form - HKCC HKCC-Form 5

Annulment of Position Netting Request Form - HKCC HKCC-Form 6

Notification of Designated Agent / Acceptable EFNs to be delivered HKCC-Form 9

Notification of Settlement Failure in respect of Open Contracts in Exchange Fund Notes HKCC-Form 10

Delivery Notice for Physically Settled Metal Futures Contract - HKCC HKCC-Form MF04

Acceptance Notice for Physically Settled Metal Futures Contract - HKCC HKCC-Form MF05

Delivery Notice After Allocation for Physically Settled Metal Futures Contract - HKCC HKCC-Form MF06

Settlement Failure Notice for Physically Settled Metal Futures Contract - HKCC HKCC-Form MF07

On-behalf Trade Adjustment Request Form - SEOCH SEOCH-Form A1

On-behalf Trade Give-up/Take-up Request Form - SEOCH SEOCH-Form A2

On-behalf Average Price Trade (APT) Request Form - SEOCH SEOCH-Form A3

On-behalf Internal Position Adjustment Request Form - SEOCH SEOCH-Form A4

External Position Transfer Request Form - SEOCH SEOCH-Form A5

Annulment of Position Netting Request Form - SEOCH SEOCH-Form A6

On-behalf Cover/Decover Request Form - SEOCH SEOCH-Form A7

On-behalf Exercise/Exercise Adjustment Request Form - SEOCH

 

SEOCH-Form A8

Additional Submission Channels*

Collateral Management Reference No.

Email

Fax

CCMS Collateral Account Designation Form for Marks, Margin and Concentration Collateral Collection by SEOCH SEOCH-Form B10

 

Selected Currency Designation Form

 

DCASS-Form 1

Additional Submission Channels*

Participant Account Maintenance Reference No.

Email

Fax

DCASS User Account Maintenance Form DCASS-Form 2

DCASS Account Maintenance Form - HKCC HKCC-Form AC

DCASS Account Maintenance Form - SEOCH SEOCH-Form A9

Opening / Maintenance of Market Maker Account for Designated Trader Form SEOCH-Form A10

Maintenance of OBEP Individual Client Account Form SEOCH-Form A11

Order Form for Smartcard Reader(s) G-Form 1
Smartcard Request Form for CCASS/CCMS User G-Form 2
Report Loss of Smartcard   G-Form 3
User Profile for Delegated Administrator (DA)   G-Form 4
Change of Company Name Form G-Form 5
Change of Authorised Signatories Form G-Form 6
Change of CCMS / DCASS Contact Persons Form DCASS-Form 3

Change of Designated/Settlement Bank Account Form DCASS-Form 4
Request for Retrieving DCASS/CCMS Reports and Data Files Form DCASS-Form 5

Notification of Execution of Physical Delivery Agent for Physically Settled Metal Futures Contract - HKCC

HKCC-Form MF01

Notification of Termination of Physical Delivery Agent for Physically Settled Metal Futures Contract - HKCC

HKCC-Form MF02

Depository Account Maintenance Notice for Physically Settled Metal Futures Contract - HKCC

HKCC-Form MF03

Operational Forms for New HKCC Participants -

Operational Forms for New SEOCH Participants

 

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Additional Submission Channels*

Technical Reference No.

Email

Fax

CCASS / CCMS SDNet Line Service Notification Form for HKSCC / HKCC / SEOCH Participants / HKSCC Designated Banks G-Form 7

Sharing of CCASS3/CCMS Terminal to CCASS/CCMS G-Form 10
Application Form for DCASS/CCMS Terminal DCASS-Form 6

DCASS Connectivity Test Confirmation Form DCASS-Form 7

DCASS Central/Network Gateway/Testing Line Application and/or Change of SDNet Bandwidth Notification Form DCASS-Form 8

Application Form for accessing DCASS via HKEX’s Contingency Gateway DCASS-Form 9

Request for usage of DCASS Backup Centre Form DCASS-Form S

Request Form for accessing DCASS OAPI Testing Environment DCASS-Form 10

DCASS OAPI Certification Test Application / Confirmation Form DCASS-Form 11

DCASS OAPI Program Readiness Declaration Form

 

DCASS-Form 12

Additional Submission Channels*

Risk Management Reference No.

Email

Fax

Request on Change of Advance Margin Deposit HKCC-Form 11

Application/Change Request for Liquid Capital Apportionment G-Form 8