| 1. |
Board Resolution (sample) |
|
|
| 2. |
Company Particulars Form for New CCASS Participant |
1 - 2 weeks |
CCASS-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 Participants (HKD) |
For reference |
|
| 4.3 |
Setup of USD Designated Bank Account Form |
|
CCASS-Form 50 |
| 4.4 |
Setup of RMB Designated Bank Account Form |
|
CCASS-Form 52 |
| 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/3 Terminal Installation Procedure |
For reference |
|
| 5.4 |
Information related to SDNet/2 |
|
|
| 6. |
Documents for setting up Authorised Users |
1 - 2 weeks |
|
| 6.1 |
User Profile for Delegated Administrator for New Participant |
|
G-Form 13 |
| 6.2 |
Guidance Notes on Setting Up CCASS / CCMS User Profile (for New Participant) |
For reference |
|
| 6.3 |
Administration Right Listing |
For reference |
|
| 6.4 |
User Access Level Assignment |
For reference |
|
| 7. |
Client Connect Delegated Administrator Rights Application / Maintenance Form |
1 - 2 weeks |
G-Form 11 |
| 7.1 |
Explanatory Notes on Client Connect Delegated Administrator (CCDA) Functions |
For reference |
|
| 8. |
Registration Form for HKSCC Report Access Platform (RAP) |
1 - 2 weeks |
CCASS-Form 107 |
| 8.1 |
HKSCC Report Access Platform (RAP) Technical Guide |
For reference |
|
| 9. |
VaR Online Delegated Administrator Rights Application / Maintenance Form |
1 - 2 weeks |
CCASS-Form 106 |
| 9.1 |
VaR Online User Guide |
For reference |
|
| 10. |
Stock Segregated Account Maintenance Form for New Participant with Guidance Notes |
1 - 2 weeks |
CCASS-Form 80 |
| 11. |
List of Authorised Signatories with Specimen Signatures |
1 - 2 weeks |
G-Form 9 |
| 12. |
Authorisation to HKSCC on Causing Endorsements to be made on Instruments of Transfer as Selling Broker's Agent |
1 - 2 weeks |
CCASS-Form 81 |
| 12.1 |
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 |
|
| 12.2 |
Appendix I, Appendix II, Appendix III |
For reference |
|
| 13. |
Standing Instruction for Settlement of Intra-day Marks, Intra-day Margin and Intra-day Mainland Settlement Deposit by CHATS Payment Instruction (CPI) |
1 - 2 weeks |
CCASS-Form 73 |