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CCASS Terminal User Guide

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 HKSCC unless a Participant / Designated Bank notifies HKSCC 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 HKSCC 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 CCASS Hotline at 2979-7111 if you have any query of the submission channel.

Additional Submission Channels*
Clearing & Settlement Operations Reference No. Email Fax
Voting Request Form - CNS Positions CCASS-Form 1
Entitlement Election Form - CNS Positions CCASS-Form 2
Subscription of Open Offer Form - CNS Positions CCASS-Form 3
Take-over Offer Acceptance/Election Form - CNS Positions CCASS-Form 4
Rights Issues Subscription Election Form - CNS Positions CCASS-Form 5
Debt Securities Conversion Request Form - CNS Positions CCASS-Form 5
Warrant Conversion Election Form - CNS Positions CCASS-Form 5
Rights Issues Subscription Election Form - IT Positions CCASS-Form 5
Debt Securities Conversion Request Form - IT Positions CCASS-Form 5
Warrant Conversion Election Form - IT Positions CCASS-Form 5
Debt Securities Redemption Request Form - IT Positions CCASS-Form 6
Application Form for Cancellation of Settlement Position CCASS-Form 7

Cash Prepayment - Intra-bank Transfer Sample CCASS-Form 8
Cash Prepayment - CHATS Payment Instruction Sample CCASS-Form 9
Authorization Letter for Debiting Stock Entitlement Account CCASS-Form 10
Additional Submission Channels*
Depository Services Reference No. Email Fax
Stock Collection Authorization Form CCASS-Form 12
Stock Pledgee Declaration Form CCASS-Form 13
Stock Deposit Form^ CCASS-Form 14
Void Voucher^ CCASS-Form 15
Adjustment Voucher^ CCASS-Form 16
Beneficiary Details and Registration Authorization Form CCASS-Form 17
Transfer Instruction Form - Exchange Fund Notes, Government Bonds, Specified Instruments or CMU Instruments Receive "Delivery Versus Payment" Instruction CCASS-Form 18
Transfer Instruction Form - Exchange Fund Notes, Government Bonds, Specified Instruments or CMU Instruments Receive "Free of Payment" Instruction CCASS-Form 19
Transfer Instruction Form - Exchange Fund Notes, Government Bonds, Specified Instruments or CMU Instruments Deliver "Delivery Versus Payment" Instruction CCASS-Form 20
Transfer Instruction Form - Exchange Fund Notes, Government Bonds, Specified Instruments or CMU Instruments Deliver "Free of  Payment" Instruction CCASS-Form 21
Transfer Instruction Cancellation Form - Exchange Fund Notes, Government Bonds, Specified Instruments or CMU Instruments - Cancel Receive "Delivery Versus Payment" Instruction CCASS-Form 22
Transfer Instruction Cancellation Form - Exchange Fund Notes, Government Bonds, Specified Instruments or CMU Instruments - Cancel Receive "Free of Payment" Instruction CCASS-Form 23
Foreign Securities Withdrawal Form CCASS-Form 24
Cross-border Transfer Instruction Form : Foreign Securities - 'Deliver Free of Payment' Instruction
CCASS-Form 25
Cross-border Transfer Instruction Form : Foreign Securities - 'Receive Free of Payment' Instruction CCASS-Form 26
Cross-border Transfer Instruction Form : Foreign Securities - Cancel 'Receive Free of Payment' Instruction
CCASS-Form 27
Creation of Units - Credit Authorization Form (Cash Application) CCASS-Form 28
Creation of Units (In Kind Creation) - Debit and Credit Authorization Form CCASS-Form 29
Redemption of Units - Debit and Credit Authorization Form CCASS-Form 30
Application for Withdrawal Fee Concession (Condition 1) – Sample Application Letters CCASS-Form 31
Application for Withdrawal Fee Concession (Condition 2) – Sample Application Letters CCASS-Form 32
Application for Scrip Fee Concession - Sample Application Letter from Transferee CCASS-Form 33
Criteria for Scrip Fee Concession
Application for Scrip Fee Concession - Sample Application Letter from Transferor CCASS-Form 34
Criteria for Scrip Fee Concession
Application for Scrip Fee Concession - Sample of Application Letter from Client CCASS-Form 35
Criteria for Scrip Fee Concession
^ For reference only. Participants please obtain the original forms from the Depository Counter.
Additional Submission Channels*
Common Nominee Services Reference No. Email Fax
Voting Request Form CCASS-Form 36
Corporate Representative / Proxy Request Form CCASS-Form 37
Foreign Currency Dividend Entitlement Instruction Form CCASS-Form 38
Cash/Scrip Dividend Election Form CCASS-Form 39
Subscription of Open Offers Form CCASS-Form 40
Takeover Offer Acceptance/Election Form CCASS-Form 41
Rights Issue Subscription Request Form CCASS-Form 42
Warrant Conversion Request Form CCASS-Form 43
Dividend/Bonus Claim Letter CCASS-Form 44
Letter of Indemnity
Debt Securities Conversion Request Form CCASS-Form 45
Debt Securities Redemption Acceptance Form CCASS-Form 46
Declaration and Letter of Indemnity in respect of Issuance of Replacement Transfer Deed CCASS-Form 47
Additional Submission Channels*
Participant Account Maintenance Reference No. Email Fax
Order Form for Smartcard Reader(s) G-Form 1
Smartcard Request Form for CCASS/CCMS User G-Form 2
Report Loss of Smartcard G-Form 3
User Profile for Delegated Administrator (DA) G-Form 4
Change of Company Name Form G-Form 5
Change of Authorised Signatories Form G-Form 6
Change of Account Information Form CCASS-Form 48
Additional / Change of HKD Designated Bank Account Form CCASS-Form 49
Setup of USD Designated Bank Account Form CCASS-Form 50
Change of USD Designated Bank Account Form CCASS-Form 51
Setup of RMB Designated Bank Account Form CCASS-Form 52
Change of RMB Designated Bank Account Form CCASS-Form 53
Report Reprint Request Form CCASS-Form 54
Stock Segregated Account Maintenance Form - Without Statement CCASS-Form 55
Request for Maintenance of Day-End Standing Instruction on Redelivery of Surplus Cash CCASS-Form 56
Stock Lending Account Opening Form CCASS-Form 57
Notification of Opening of a Stock Lending Account in CCASS by Lender
Operational Forms for New Participant -
Operational Forms for Termination of Participantship -
Settlement Agent and Access to CCASS from a Foreign Jurisdiction -
Additional Submission Channels*
Buy-in Reference No. Email Fax
Buy-in Reporting Slip CCASS-Form 58
Application Form for Exemption of Buy-in (Eligible Securities) CCASS-Form 59
Early Buy-in Request Form CCASS-Form 60
Buy-in Request Form (for CCASS Isolated Trades only) CCASS-Form 61
Withdrawal of Buy-in Request Form (for CCASS Isolated Trades) CCASS-Form 62
Request Letter for Exemption of Special Buy-In CCASS-Form 63
Additional Submission Channels*
China Connect Reference No. Email Fax
Subscription of Open Offers Form (for China Connect Securities only) CCASS-Form 64
Application Form for Exemption of Buy-in (China Connect Securities) CCASS-Form 65
Non-Trade Transfer in China Connect Security Stamp Duty Declaration Form (for Shanghai) (Form available in Chinese only) CCASS-Form 66
Non-Trade Transfer in China Connect Security Stamp Duty Declaration Form (for Shenzhen) (Form available in Chinese only) CCASS-Form 67
Stock Account Mapping Maintenance Form for the Use of Shanghai and Shenzhen Stock Connect CCASS-Form 68
Special Segregated Account and Designated Executing Broker Maintenance Form CCASS-Form 69
Adjustment Request form for Sellable Balance due to Outstanding Positions in China Connect Securities CCASS-Form 70
Shanghai and Shenzhen Connect: Cash Prepayment Request Form CCASS-Form 71
Shanghai and Shenzhen Connect Forms, Checklists and Procedures -
Additional Submission Channels*
Technical Reference No. Email Fax
CCASS / CCMS SDNet Line Service Notification Form for HKSCC / HKCC / SEOCH Participants / HKSCC Designated Banks G-Form 7
Sharing of CCASS3/CCMS Terminal to CCASS/CCMS G-Form 10
Request For Back-up Facilities Form CCASS-Form 72
PG Acquisition Documents -
Additional Submission Channels*
Risk Management Reference No. Email Fax
Application/Change Request for Liquid Capital Apportionment G-Form 8
Standing Instruction for Settlement of Intra-day Marks, Intra-day Margin and Intra-day Mainland Settlement Deposit by CHATS Payment Instruction (CPI) CCASS-Form 73
Investor Participants
Forms for Investor Participants -

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