Table of Contents
Amendment Log (updated as of May 2012)
Section 1 Introduction (updated as of March 2011)
Section 2 CCASS System Overview (updated as of May 2012)
Section 3 Getting Started for Terminal Operations
3.1 Access Control (updated as of May 2012)
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
3.5 Screen Standards (updated as of September 2006)
Section 4 Reporting Functions
4.1 Downloading and Printing Reports (updated as of April 2008)
4.2 List of Reports and Availability Schedule (updated as of May 2012)
4.3 Report / Data File Description (updated as of May 2012)
4.4 Report Data Files Layout (updated as of May 2012)
4.5 Report Profile Maintenance (updated as of September 2006)
4.6 Overnight Report Distribution Function (updated as of April 2004)
Section 5 File Transfer Function
5.1 SI File Transfer (updated as of December 2010)
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 March 2011)
5.6 ATI Batch File Layout (Batch File Sample) (updated as of July 2007)
5.6a STI File Transfer (new section as of March 2011)
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 January 2006)
5.10 CRP Batch File Layout (Batch File Sample) (updated as of April 2008)
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 December 2010)
5.17 MCTI File Transfer (new section as of May 2012)
5.18 MCTI Batch File Layout (Batch File Sample) (new section as of May 2012)
Section 6 Report Specifications (updated as of May 2012)
Section 7 Technical Requirements
7.1 CCASS Terminal Requirements (updated as of June 2011)
7.2 CCASS Processing and Service Schedule (updated as of May 2012)
7.3 CCASS/3 Terminal Backup Facilities (updated as of December 2010)
Section 8 Terminal Operations
8.1 Clearing and Settlement Services
8.1.1 SI Maintenance (updated as of May 2012)
8.1.1a Change Hold Matched SI (updated as of May 2012)
8.1.1b Change Matched/Settled SI (updated as of May 2012)
8.1.2 SI Tolerance Limit Maintenance (updated as of December 2007)
8.1.2a Hide Unmatched SI Content Counterparty List (updated as of December 2007)
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 May 2012)
8.1.6 Input DI (updated as of May 2012)
8.1.7 Input ATI (updated as of October 2011)
8.1.7a STI Maintenance (updated as of March 2011)
8.1.8 Mass ATI/STI (updated as of October 2011)
8.1.9 Cash Prepayment Instruction Maintenance (updated as of September 2010)
8.1.9a Cash Prepayment / TSF Payment Standing Instruction Maintenance
(updated as of October 2011)
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 as of October 2011)
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 July 2010)
8.2.3 Subscription Instruction Maintenance (updated as of October 2011)
8.2.4 Voting Instruction Maintenance (updated as of July 2007)
8.2.5 Corporate Representative/Proxy Maintenance (updated as of May 2006)
8.2.6 Recipient Master Maintenance (updated as of January 2010)
8.2.7 Event Recipient List Maintenance (updated as of January 2010)
8.2.8 EIPO Application Maintenance (updated as of December 2007)
8.2.9 Tender Instruction Maintenance (updated as of January 2010)
8.2.10 Cash Creation Order Maintenance (updated as of October 2011)
8.2.11 In Kind Creation Order Maintenance (updated as of October 2011)
8.2.12 Redemption Order Maintenance (updated as of October 2011)
8.2.13 Inter-counter Transfer/Conversion Instruction Maintenance (updated as of May 2012)
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)
8.4 Security Management Services
8.4.1 User Profile Maintenance (updated as of September 2006)
8.4.2 User Group Listing (With Accessible Functions) (updated as of September 2006)
8.4.3 User Profile Listing (updated as of September 2006)
8.4.4 Disabled User Listing (updated as of September 2006)
8.4.5 SRN Listing (updated as of September 2006)
8.4.6 User Profile Maintenance Report (updated as of September 2006)
8.4.7 Reset Smartcard Password (updated as of September 2006)
8.4.8 Get Authorisation Code (updated as of September 2006)
8.5 General Services
8.5.1 SSA with Statement Service Maintenance (updated as of December 2010)
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 July 2007)
9.1.2 Enquire Stock Account Movement (updated as of November 2011)
9.1.3 Enquire Due/Overdue Positions (updated as of May 2012)
9.1.4 Enquire Settlement Activity (updated as of May 2012)
9.1.5 Enquire Money Position / Instruction (updated as of July 2011)
9.1.6 Enquire Unmatched SI Reason (updated as of May 2012)
9.1.7 Enquire Payment Instruction (updated as of October 2011)
9.1.8 Enquire Buy-in Confirmation (updated as of October 2008)
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 July 2011)
9.2.2 Enquire Corporate Communications Event (updated as of September 2006)
9.2.3 Enquire Resolution Description (updated as of May 2006)
9.2.4 Enquire Reported Lost Certificate
9.2.5 Enquire Authorised EIPO Announcement (updated as of November 2010)
9.2.6 Enquire Allotment Result (updated as of September 2006)
9.2.7 Enquire Authorised Tender Announcement (updated as of November 2010)
9.2.8 Enquire Tender Result (updated as of January 2010)
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 December 2010)
9.3 General Enquire Services
9.3.1 Enquire Participant List (updated as of December 2007)
9.3.2 Enquire Stock List (updated as of January 2007)
9.3.3 Enquire Broadcast Message (updated as of September 2006)
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 2008)
9.3.10 Enquire NCP / GCP Mapping (new section as of December 2007)
9.3.11 Enquire Issuer Announcement (new section as of April 2008)
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)
Forms for HKSCC Participants