Operational Setup for OTC Clear Clearing Members 
25/09/2017 
 

Forms - Operational Setup for OTC Clear Clearing Members

List of documents requiring review and completion prior to launch. 

Name of Document

Tentative
lead-time 

1.

Information Pack the Securities and Derivatives Network/2 (SDNet/2) 
     

For reference. Telecom services providers will typically need 4 - 8 weeks for set-up.

2.

OTC Account Services Information System (OASIS) Configuration Guide

For reference

3.

OASIS Account Maintenance Form 
                  

2 weeks

4.

Change of Company Particulars and Contact Person Form 
   

2 weeks

5.

Change of Authorised Signatures 
      

1 - 2 weeks

6.

Risk Limit Maintenance Form 
      

1 - 2 weeks

7.

Intra-day Collateral Deposit / Withdrawal Request Form

 

For contingency use only

8.

Request Form for retrieving OASIS reports 

 

For contingency use only

9.

Request for Change of Products Accepted for Clearing 

2 weeks
10. Request for Change of Fee Tariff Type 1 – 2 weeks
11.

Supplementary Notes on Clearing Fees Charged by OTC Clear 

For reference
12. ATRS identifier maintenance form 1 – 2 weeks

 Forms - Operational Forms for Clearing Brokers and Clients

Name of Document Executed by

1.

Client Onboarding Request Form Clearing Broker
2. Information of Client’s Replacement Clearing Member and Settlement Instruction Client
3. Request Form for porting of Contracts and Collateral amongst Client Accounts Clearing Broker and Client
Reply Form for porting of Contracts and Collateral amongst Client Accounts Clearing Broker
4. Request Form for Full Portfolio Transfer Transferee Clearing Member and Client
Reply Form for Full Portfolio Transfer (Transferor) Transferor Clearing Member
Reply Form for Full Portfolio Transfer (Transferee) Transferee Clearing Member
5. Request Form for Partial Portfolio Transfer Transferee Clearing Member and Client
Reply Form for Partial Portfolio Transfer (Transferor) Transferor Clearing Member
Reply Form for Partial Portfolio Transfer (Transferee) Transferee Clearing Member


Forms – Operational Forms for non-cash collateral

Name of document
1. Request form for new non-cash collateral instrument set-up
2. Request form for the withdrawal of non-cash collateral redemption proceeds