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Securities Market
Clearing and Settlement Services

Updated: 30 November 2007

Risk Management of Clearing and Settlement

Hongkong Clearing faces two major sources of risk in its operations: the risk of guaranteeing settlement of Stock Exchange trades, and the risk of ensuring good title to the securities in the depository.

Hongkong Clearing monitors and controls its exposure to risk to protect the interests of participants in CCASS, the Central Clearing And Settlement System, investors and the Hong Kong securities industry.

Under CCASS, Hongkong Clearing becomes the central risk taker by substituting itself as the universal counter- party to Exchange trades to be settled under CNS, Continuous Net Settlement. This effectively guarantees settlement of Exchange trades by clearing participants.

Settlement of CNS Trades
Risk Management of CNS Trades

Stress Testing

Risk Management of Defective Securities
Guarantee Fund
Actions Following Default of a Clearing Participant
Steps Taken in case of Default