Information Paper and FAQ

• Information paper
• FAQ (Updated as of 15 October 2018)
• Briefing to Participants on Northbound Investor ID Model

Circular

• Link to SEHK Circulars

Press Release

• HKEX Reschedules Rollout of Northbound Investor ID Model for Stock Connect
• HKEX Announces Details of Launch of NB Investor ID Model on 17 September
• HKEX Publishes Paper on Investor ID Model for Stock Connect Northbound Trading

Rule Amendments 

• SEHK Rules Amendments

Technical Documents

• Specifications
  • China Stock Connect Northbound Trading Investor ID Model System File Interface Specification (Version 1.4) (Marked-up Version)        
    •  BCAN-CID Mapping File Data Record Examples (Version 1.0)
    •  Guidance Notes on BCAN-CID Mapping File (Version 1.0)
    •  BCAN-CID Mapping File (Sample File)
    •  Authorised TTEP Firm List Example (Version 1.0)
    •  Authorised TTEP Firm List (Sample File)
  • Interface Specifications CCCG Binary Trading Protocol (Version 1.3) (Marked-up Version)
  • Interface Specifications CCCG Binary Drop Copy Protocol (Version 1.1) (Marked-up Version)
  • Interface Specifications CCCG FIX Trading Protocol (Version 1.3) (Marked-up Version)
  • Interface Specifications CCCG FIX Drop Copy Protocol (Version 1.1) (Marked-up Version)
  • Cash Market Secure File Transfer Technical Guide (Version 1.3) (Marked-up Version)

• Migration to ECP (Tentatively in Q2 2023)
  • China Stock Connect Northbound Trading Investor ID Model System File Interface Specification (Version 1.5) (Marked-up Version)
  • Northbound Investor ID Model File Transfer Connectivity Guide
• Forms
  • SFTP Service Registration Form for Northbound Investor ID Model

• Information Packages
  • Information Package for Third Market Rehearsal (Version 1.0)
  • Information Package for Second Market Rehearsal (Version 1.0)
  • Information Package on Connectivity Session and Market Rehearsal (Version 1.1) (Marked-up Version)

Other Reference Materials

• Client Consent Template (for reference only)