Forms - Operational Setup for SEOCH Participants 
27/07/2017 
 

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

Types / Name of Documents Lead-time required   

Form  Reference No.

1. Bank Mandates respectively for House and Client Accounts
    
3 - 4 weeks
1.1      Bank of China (Hong Kong) Ltd. - House
Bank of China (Hong Kong) Ltd. - Client
1.2 Chong Hing Bank Ltd. - House
Chong Hing Bank Ltd. - Client
1.3 Citibank N.A. - House
Citibank N.A. - Client
1.4 Hang Seng Bank Ltd. - House
Hang Seng Bank Ltd. - Client
1.5 Standard Chartered Bank (Hong Kong) Ltd. - House
Standard Chartered Bank (Hong Kong) Ltd. - Client
1.6 The Bank of East Asia, Ltd. - House
The Bank of East Asia, Ltd. - Client
1.7 The Hongkong and Shanghai Banking Corporation Ltd. - House
The Hongkong and Shanghai Banking Corporation Ltd. - Client
1.8 OCBC Wing Hang Bank Ltd. - House
OCBC Wing Hang Bank Ltd. - Client
1.9 Wing Lung Bank Ltd. - House
Wing Lung Bank Ltd. - Client
2. Facsimile Indemnity 
   
1 - 2 weeks
3. Mandate Authorising SEOCH to transfer collateral and settlement amount to Hong Kong Securities Clearing Company Limited 1 - 2 weeks
3.1 - for CCASS Participant
3.2 - for CCASS NCP
4 Deed of Charge 1 - 2 weeks
4.1 - for CCASS Participant
         
4.2 - for CCASS NCP
         
5. DCASS Subscription and Licence Agreement 1 - 2 weeks
6.

CCASS / CCMS SDNet Line Service Notification Form

6 weeks G-Form 7
7. DCASS CG/NG/Testing Line Application and/or Change of SDNet Bandwidth Notification Form 6 weeks DCASS-Form 8
8. Application Form for DCASS/CCMS Terminal 6 weeks DCASS-Form 6
9. Change of CCMS / DCASS Contact Persons Form 1 - 2 weeks DCASS-Form 3
10. List of Authorised Signatures with Specimen Signatures and Board Resolution (Sample) 2 - 6 weeks SEOCH-Form 12
11. Sharing of CCASS3 / CCMS Terminal to Access CCASS / CCMS 1 - 2 weeks G-Form 10
12. Smartcard Request Form for New HKCC / SEOCH Participant 1 - 2 weeks DCASS-Form 13
13. User Profile for Delegated Administrator for New HKCC / SEOCH Participant 1 - 2 weeks DCASS-Form 14
14. Guidance Notes on Setting Up CCMS User Profile (for new HKCC / SEOCH Participant) For reference
15. Administration Right Listing For reference
16. User Access Level Assignment For reference
17. FATCA Documentation
17.1 Form W-8BEN-E - Certificate of Status of Beneficial Owner for United States Tax Withholding and Reporting (Entities) or any relevant form as applicable 1 - 2 weeks
17.2 Instructions for Form W-8BEN-E For reference