Forms - Operational Setup for HKSCC Participants 
19/05/2017 
 

List of documents required to be completed for fulfilling the operational requirements of HKSCC

Types / Name of Documents Lead-time required Form Reference No.
1.

Board Resolution (sample)   

2. Company Particulars Form for New CCASS Participant
        
1 - 2 weeks CCAS-Form 75

3.

FATCA Documentation

1-2 weeks
3.1

Form W-8BEN-E, Certificate of Status of Beneficial Owner for United States Tax Withholding and Reporting (Entities) or any relevant form as applicable

3.2

Instructions for Form W-8BEN-E

For reference 
4. Authorisation Forms for Arrangement of Designated Bank Account
              
3 - 4 weeks
4.1    Non-Investor Participant HKD Debit Authorisations and Authorisation to Disclose Information Form
          
CCASS-Form 76
4.2 List of Designated Banks for CCASS Non-Investor Paricipants
        
For reference   
5. Documents for Installation of CCASS Terminal
          
6 weeks
5.1 Application for Installation of CCASS/3 Terminal(s) 
         
CCASS-Form 77
5.2 CCASS / CCMS SDNet Line Service Notification Form for HKSCC / HKCC / SEOCH Participants / Designated Banks
G-Form 7
5.3 CCASS Terminal Requirements
   
For reference
5.4 CCASS/3 Terminal Installation Procedure
   
For reference
5.5

Information related to SDNet/2

6. Documents for setting up Authorised Users
    
1 - 2 weeks
6.1 Smartcard Request Form for New CCASS Participant
  
CCASS-Form 78
6.2 User Profile List for Delegated Administrator for New CCASS Participant
  
CCASS-Form 79
6.3 Guidance Notes on Setting Up CCASS User Profile (for New CCASS Participant)
 
For reference
6.4 Administration Right Listing
   
For reference
6.5 User Access Level Assignment
         
For reference
7. Stock Segregated Account Maintenance Form for New Participant
    
1 - 2 weeks CCASS-Form 80
7.1

Guidance Notes on Completing Stock Segregated Account Maintenance Form for New Participant
   

For reference
8. List of Authorised Signatories with Specimen Signatures
    
1 - 2 weeks G-Form 9
9. Authorisation to HKSCC on Causing Endorsements to be made on Instruments of Transfer as Selling Broker's Agent
   
1 - 2 weeks CCASS-Form 81
9.1 Explanatory Notes for Completion of the Form of "Authorisation to HKSCC on Causing Endorsements to be made on Instruments of Transfer as Selling Broker's Agent"
   
For reference
9.2 Appendix I, Appendix IIAppendix III
                   
For reference