Forms - Participantship Applications 
20/04/2017 
 

Type of Application

Type of Form(s)Required

Form Title

Type of Explanatory Notes

Explanatory Notes Title

Stock Exchange Participantship and HKSCC Participantship

1

Application for Participantship and Trading Right

EN1

Explanatory Notes for Application for Participantship and Trading Right
   

1E

Financial Statement

-

-

4A

Personal Information Collection Statement
   

-

-

6

 

Commencement of Trading

EN6

 

Explanatory Notes for Application for Commencement of Trading

-

Direct Clearing Participant Agreement

-

-

-

General Clearing Participant Agreement

-

-

   

Type of Application

Type of Form(s) Required

Form Title

Type of Explanatory Notes

Explanatory Notes Title

Futures Exchange Participantship and HKCC Participantship

1

Application for Participantship and Trading Right

EN1

Explanatory Notes for Application for Participantship and Trading Right
   

1E

Financial Statement
   

-

-

4A

Personal Information Collection Statement
   

-

-

 

Type of Application

Type of Form(s) Required

Form Title

Type of Explanatory Notes

Explanatory Notes Title

Options Trading Exchange Participantship and SEOCH Participantship

1

Application for Participantship and Trading Right

EN1

Explanatory Notes for Application for Participantship and Trading Right
   

1E

 

Financial Statement

-

-

-

Facsimile Indemnity

-

-

-

SEOCH Participantship Agreement

-

-

 

Type of Application

Type of Form(s) Required

Form Title

Type of Explanatory Notes

Explanatory Notes Title

Options Broker Exchange Participantship

1

Application for Participantship and Trading Right

EN1

Explanatory Notes for Application for Participantship and Trading Right
   

1E

 

Financial Statement

-

-

  

Type of Application

Type of Form(s) Required

Form Title

Type of Explanatory Notes

Explanatory Notes Title

Change of Participantship Category of HKFE/HKCC
     

1G

Application for Change of Participantship Category

EN1G

Explanatory Notes for Application for Change of Participantship Category

Change of Participantship Category of HKSCC
   

1H

Application for Change of Participantship Category of HKSCC

EN1H

Explanatory Notes for Application for Change of Participantship Category of HKSCC

 

Type of Application

Type of Form(s) Required

Form Title

Type of Explanatory Notes

Explanatory Notes Title

Additional Stock/Futures Exchange Trading Right

3

Application for Additional Trading Right

EN3

Explanatory Notes for Application for Additional Trading Right
   

   

Type of Application

Type of Form(s) Required

Form Title

Type of Explanatory Notes

Explanatory Notes Title

Designated Index Arbitrage Short Selling Participant

13

Application for Registration as Designated Index Arbitrage Short Selling Participant
   

-

-

Designated Index Arbitrage Participant

13A

Application for Registration as Designated Index Arbitrage Participant
   

-

-

 

Type of Application

Type of Form(s) Required

Form Title

Type of Explanatory Notes

Explanatory Notes Title

Designated Stock Futures Hedging Short Selling Participant

14

Application for Registration as Designated Stock Futures Hedging Short Selling Participant
   

-

-

Stock Futures Hedging Participant

14A

Application for Registration as Stock Futures Hedging Participant
   

-

-

 

Type of Application

Type of Form(s) Required

Form Title

Type of Explanatory Notes

Explanatory Notes Title

Options Hedging Participant

17

Application for Registration as Options Hedging Participant
   

-

-