CCASS Terminal User Guide for Participants 

Table of Contents

Amendment Log (updated as of April 2017)

Section 1 Introduction (updated as of April 2017)


Section 2
CCASS System Overview (updated as of January 2017)


Section 3
Getting Started for Terminal Operations

3.1 Access Control (updated as of January 2017)

3.2 Security Management (updated as of July 2007)

3.3 Change Smartcard/User Password (updated as of July 2007)

3.4 Logon and Logoff CCASS (updated as of July 2016)

3.5 Screen Standards (updated as of September 2006)


Section 4 Reporting Functions

4.1 Downloading and Printing Reports (updated as of April 2016)

4.2 List of Reports and Availability Schedule (updated as of April 2017)

4.3 Report / Data File Description (updated as of April 2017)

4.4 Report Data Files Layout (updated as of April 2016)

4.5 Report Profile Maintenance (updated as of September 2016)

4.6 Overnight Report Distribution Function (updated as of September 2016)


Section 5 File Transfer Function

5.1 SI File Transfer (updated as of April 2016)

5.2 SI Batch File Layout (Batch File Sample) (updated as of May 2012)

5.3 ISI File Transfer (updated as of August 2005)

5.4 ISI Batch File Layout (Batch File Sample) (updated as of July 2007)

5.5 ATI File Transfer (updated as of April 2017)

5.6 ATI Batch File Layout (Batch File Sample) (updated as of July 2007)

5.6a STI File Transfer (updated as of April 2017)

5.6b STI Batch File Layout (Batch File Sample) (new section as of July 2007)

5.7 Corporate Communications Recipient File Transfer (updated as of May 2006)

5.8 Corporate Communications Recipient Batch File Layout (Batch File Sample) (updated as of January 2010)

5.9 CRP File Transfer (updated as of April 2016)

5.10 CRP Batch File Layout (Batch File Sample) (updated as of April 2016)

5.11 Tender Instruction File Transfer (updated as of September 2006)

5.12 Tender Instruction Batch File Layout (Batch File Sample) (updated as of January 2010)

5.13 EIPO Application File Transfer (updated as of July 2007)

5.14 EIPO Application Batch File Layout (Batch File Sample) (updated as of June 2004)

5.15 SSA File Transfer (new section as of July 2007)

5.16 SSA Batch File Layout (Batch File Sample) (updated as of March 2015)

5.17 MCTI File Transfer (new section as of May 2012) 

5.18 MCTI Batch File Layout (Batch File Sample) (updated as of March 2015)

5.19 EIPO Confirmation File Transfer (new section as of January 2013)

5.20 EIPO Confirmation Batch File Layout (Batch File Sample) (new section as of January 2013)

5.21 Parallel Trading Conversion Instruction File Transfer (new section as of January 2013)

5.22 Parallel Trading Conversion Instruction File Layout (Batch File Sample) (updated as of March 2015)

5.23 SSC File Transfer (new section as of November 2013)

5.24 SSC Batch File Layout (Batch File Sample) (new section as of November 2013)


Section 6 Report Specifications (updated as of April 2017)


Section 7 Technical Requirements

7.1 CCASS Terminal Requirements (updated as of January 2017)

7.2 CCASS Processing and Service Schedule (updated as of April 2017)

7.3 CCASS/3 Terminal Backup Facilities (updated as of November 2014)

Section 8 Terminal Operations

8.1 Clearing and Settlement Services

8.1.1 SI Maintenance (updated as of January 2017)

8.1.1a Change Hold Matched SI  (updated as of January 2017)

8.1.1b Change Matched/Settled SI  (updated as of December 2015)

8.1.2 SI Tolerance Limit Maintenance (updated as of December 2015)

8.1.2a Hide Unmatched SI Content Counterparty List  (updated as of December 2015)

8.1.3 ISI Maintenance (updated as of October 2011)

8.1.3a Hold/Release ISI (updated as of July 2007)

8.1.4 ISI (With Affirmation) Counterparty List Maintenance 
(updated as of December 2007)

8.1.4a ISI (Without Affirmation) Counterparty List Maintenance 
(updated as of December 2007)

8.1.5 Change DI Requirement (updated as of December 2015)

8.1.6 Input DI (updated as of December 2015)

8.1.7 Input ATI (updated as of July 2016)

8.1.7a STI Maintenance (updated as of April 2017)

8.1.8 Mass ATI/STI (updated as of December 2015)

8.1.9 Cash Prepayment Instruction Maintenance (updated as of October 2016)

8.1.9a Cash Prepayment / TSF Payment Standing Instruction Maintenance
(updated as of October 2016)

8.1.9b Cash Prepayment Instruction Maintenance for China Connect Markets
(updated as of December 2016)

8.1.10 Stock Borrowing Request Maintenance (updated as of March 2011)

8.1.11 Recall Request Maintenance (updated as of October 2011)

8.1.12 Cash Compensation Indicator Maintenance (updated as of March 2011)

8.1.13 Stock Release Request Maintenance (new section as of October 2011)

8.1.14 SPSA Delivery Failure Maintenance (updated as of January 2017)


8.2 Depository and Nominees Services

8.2.1 Login Withdrawal Order Maintenance (updated as of October 2011)

8.2.2 Election Instruction Maintenance (updated as of March 2015)

8.2.3 Subscription Instruction Maintenance (updated as of December 2015)

8.2.4 Voting Instruction Maintenance (updated as of April 2016)

8.2.5 Corporate Representative/Proxy Maintenance (updated as of April 2016)

8.2.6 Recipient Master Maintenance (updated as of March 2015)

8.2.7 Event Recipient List Maintenance (updated as of March 2015)

8.2.8 EIPO Application Maintenance (updated as of December 2007)

8.2.8a EIPO Confirmation Application Maintenance (new section as of January 2013)

8.2.9 Tender Instruction Maintenance (updated as of March 2015)

8.2.10 Cash Creation Order Maintenance (updated as of July 2016)

8.2.11 In Kind Creation Order Maintenance (updated as of July 2016)

8.2.12 Redemption Order Maintenance (updated as of July 2016)

8.2.13 Inter-counter Transfer/Conversion Instruction Maintenance (updated as of March 2015)

8.2.14 Shareholding Category Disclosure Maintenance (new section as of January 2017)


8.3 Collateral Management Services [Reference to CCMS Terminal User Guide]

8.3.1 CCASS-To-CCMS Stock Transfer Maintenance
(CCMS Terminal User Guide Section 7.1.1)

8.3.2 CCMS-To-CCASS Stock Transfer Maintenance
(CCMS Terminal User Guide Section 7.1.2)

8.3.3 General to Specific Stock Collateral Maintenance
(CCMS Terminal User Guide Section 7.1.3)

8.3.4 Specific to General Stock Collateral Maintenance
(CCMS Terminal User Guide Section 7.1.4)

8.3.5 CCMS-To-CCASS Cash Transfer Maintenance
(CCMS Terminal User Guide Section 7.1.5)

8.3.6 Specific Cash Collateral Maintenance                                                                   (CCMS Terminal User Guide Section 7.1.12)

8.3.7 Preferred Single Settlement Currency Maintenance                                                     (CCMS Terminal User Guide Section 7.1.13)


8.4 Security Management Services

8.4.1 User Profile Maintenance (updated as of October 2014)

8.4.2 User Group Listing (With Accessible Functions) (updated as of October 2014)

8.4.3 User Profile Listing (updated as of October 2014)

8.4.4 Disabled User Listing (updated as of October 2014)

8.4.5 SRN Listing (updated as of October 2014)

8.4.6 User Profile Maintenance Report (updated as of October 2014)

8.4.7 Reset Smartcard Password (updated as of October 2014)

8.4.8 Get Authorisation Code (updated as of October 2014)

8.5 General Services

8.5.1 SSA with Statement Service Maintenance (updated as of March 2015)

8.5.1a SSA Bank Account Maintenance (new section as of July 2007)

8.5.2 Re-set CCASS Phone Password of SSA with Statement Service
(updated as of July 2007)

8.5.3 Intra-day Payment Standing Instruction Maintenance (updated as of October 2008)

8.5.4 Nominee Payment (Evening) Standing Instruction Maintenance (new section as of July 2011)


Section 9 Special Enquire Functions

9.1 Clearing and Settlement Services

9.1.1 Enquire Stock Account Balance (updated as of September 2016)

9.1.2 Enquire Stock Account Movement (updated as of September 2016)

9.1.3 Enquire Due/Overdue Positions (updated as of October 2014)

9.1.4 Enquire Settlement Activity (updated as of October 2014)

9.1.5 Enquire Money Position / Instruction (updated as of January 2017)

9.1.6 Enquire Unmatched SI Reason (updated as of October 2014)

9.1.7 Enquire Payment Instruction (updated as of October 2014)

9.1.8 Enquire Buy-in Confirmation (updated as of October 2014)

9.1.9 Enquire TSF Payment Instruction (new as of October 2011)

9.2 Depository and Nominees Services

9.2.1 Enquire Announcement Information (updated as of November 2015)

9.2.2 Enquire Corporate Communications Event (updated as of March 2015)

9.2.3 Enquire Resolution Description (updated as of April 2016)

9.2.4 Enquire Reported Lost Certificate

9.2.5 Enquire Authorised EIPO Announcement (updated as of January 2013)

9.2.6 Enquire Allotment Result (updated as of September 2006)

9.2.7 Enquire Authorised Tender Announcement (updated as of March 2015)

9.2.8 Enquire Tender Result (updated as of March 2015)

9.2.9 Enquire EIPO Total Application Quantity and Money Obligation
(updated as of September 2006)

9.2.10Enquire SSA Corporate Voting Instruction (updated as of April 2016)


9.3 General Enquire Services

9.3.1 Enquire Participant List (updated as of October 2014)

9.3.2 Enquire Stock List (updated as of October 2014)

9.3.3 Enquire Broadcast Message (updated as of April 2016)

9.3.4 Enquire Stock Lender List

9.3.5 Enquire Stock Borrowing List

9.3.6 Enquire Lending Position

9.3.7 Enquire Stock Borrowing Information

9.3.8 View Circular (updated as of December 2007)

9.3.9 Enquire Intra-day Payment Summary (updated as of October 2012)

9.3.10 Enquire NCP / GCP Mapping (updated as of October 2014)

9.3.11 Enquire Issuer Announcement (updated as of July 2016)


9.4 Collateral Management Services [Reference to CCMS Terminal User Guide]

9.4.1 Enquire Collateral Account Balance (CCMS Terminal User Guide Section 8.2.2)

9.4.2 Enquire Collateral Account Movement (CCMS Terminal User Guide Section 8.2.3)

9.4.3 Enquire Collateral Inventory (CCMS Terminal User Guide Section 8.2.4)

9.4.4 Enquire Interest Calculation Result / Accommodation Fee
(CCMS Terminal User Guide Section 8.2.7)

9.4.5 Enquire Collateral Effective Haircut & Valuation Price
(CCMS Terminal User Guide Section 8.2.5)

9.4.6 Enquire Exchange Rate and Haircut (CCMS Terminal User Guide Section 8.2.6)

9.4.7 Enquire Specific Cash Collateral Movement (CCMS Terminal User Guide Section 8.2.8

Forms for HKSCC Participants