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Participantship/Membership

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Updated 22 Sep 2017

Removal of company chop requirement – With effect from 6 April 2017, a company chop will not need to be affixed to any forms or documents submitted to HKCC / SEOCH unless a Participant notifies HKCC / SEOCH that a company chop is required. For more details, please refer to the Circular dated 6 March 2017.

*Form submission channel – All forms or documents can be submitted to HKCC / SEOCH in original. Moreover, certain forms duly signed by the authorised signatory(ies) can also be submitted by email or fax as set out in the table below. Please contact DCASS Hotline at 2979-7222 if you have any query of the submission channel.

Updated 22 Sep 2017

Participant/Member Admission

Forms Form # Reference Additional submission Channels*
Email Fax
Application for Participantship and Trading Right 1 Explanatory Notes

Financial Statement 1E


Personal Information Collection Statement 4A


SEOCH Participantship Agreement nil


Certificate of Status of Beneficial Owner for United States Tax Withholding and Reporting (Entities) W-8BEN-E  Instructions for Form W-8BEN-E    
nil 
     
Operational Setup Forms (SEOCH) - Mandate Authorising SEOCH to transfer collateral and settlement amount to Hong Kong Securities Clearing Company Limited (for CCASS Participant) nil


Operational Setup Forms (SEOCH) - Mandate Authorising SEOCH to transfer collateral and settlement amount to Hong Kong Securities Clearing Company Limited (for CCASS NCP) nil


Operational Setup Forms (SEOCH) - Deed of Charge (for CCASS Participant) nil


Operational Setup Forms (SEOCH) - Deed of Charge (for CCASS NCP) nil


Operational Setup Forms (SEOCH) - DCASS Subscription and Licence Agreement nil


Operational Setup Forms (HKCC) - DCASS Subscription and Licence Agreement  nil      
SEOCH-Form 12 
     
HKCC-Form 12 
     
DCASS-Form 3 
     
DCASS-Form 6 
  yes  yes 
Operational Setup Forms (HKCC & SEOCH) - DCASS Central/Network Gateway/Testing Line Application and/or Change of SDNet Bandwidth Notification Form DCASS-Form 8


DCASS-Form 13



DCASS-Form 14


G-Form 7 
     
Operational Setup Forms (HKCC & SEOCH) - Sharing of CCASS3/CCMS Terminal to Access CCASS/CCMS G-Form 10


Updated 07 Nov 2017

Participant/Member Account Maintenance

Forms Form # Reference Additional submission Channels*
Email Fax
G-Form 1 
     
G-Form 2 
     
Report Loss of Smartcard
G-Form 3 
     
G-Form 4 
     
G-Form 5 
     
G-Form 6 
     
DCASS-Form 2
  yes  yes 
Change of CCMS/DCASS Contact Persons Form DCASS-Form 3
yes yes
DCASS-Form 4



DCASS-Form 5

yes yes
DCASS Account Maintenance Form (HKCC) HKCC-Form AC
yes yes
HKCC-Form MF01 
  yes  yes 
HKCC-Form MF02 
  yes  yes 
HKCC-Form MF03 
  yes  yes 
HKCC-Form 10 
  yes  yes 
DCASS Account Maintenance Form (SEOCH) SEOCH-Form A9
yes yes
Opening/ Maintenance of Market Maker Account for Designated Trader Form SEOCH-Form A10
yes yes
Maintenance of OBEP Individual Client Account Form SEOCH-Form A11
yes yes

Updated 21 Sep 2017

Participantship - Others

Updated 16 Sep 2017

Notification

Updated 16 Sep 2017

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