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Operational Setup for HKCC Participants

List of documents required to be completed for fulfilling the operational requirements of HKCC

Types / Name of Documents Lead-time required Form  Reference No.
1. Bank Mandates respectively for House and Client Accounts      3 - 4 weeks
1.1 Bank of China (Hong Kong) Ltd. - House
Bank of China (Hong Kong) Ltd. - Client
1.2 Citibank N.A. - House
Citibank N.A. - Client
1.3 Hang Seng Bank Ltd. - House
Hang Seng Bank Ltd. - Client
1.4 Standard Chartered Bank (Hong Kong) Ltd. - House
Standard Chartered Bank (Hong Kong) Ltd. - Client
1.5 The Bank of East Asia, Ltd. - House
The Bank of East Asia, Ltd. - Client
1.6 The Hongkong and Shanghai Banking Corporation Ltd. - House
The Hongkong and Shanghai Banking Corporation Ltd. - Client
1.7 OCBC Wing Hang Bank Ltd. - House
OCBC Wing Hang Bank Ltd. - Client
2. DCASS Subscription and Licence Agreement 1 - 2 weeks
3. CCASS / CCMS SDNet Line Service Notification Form 6 weeks G-Form 7
4. DCASS User Account Maintenance Form 6 weeks  DCASS-Form 2
5.
DCASS Production/Testing Line Application and/or Change of SDNet Bandwidth Notification Form 6 weeks
DCASS-Form 8
6. Change of CCMS / DCASS Contact Persons Form 1 - 2 weeks DCASS-Form 3
7. List of Authorised Signatures with Specimen Signatures and Board Resolution (Sample) 2 - 6 weeks HKCC-Form 12
8. Sharing of CCASS3 / CCMS Terminal to Access CCASS/ CCMS 1 - 2 weeks G-Form 10
9.  Documents for Setting Up Authorised Users    
9.1 Smartcard Request Form for New HKCC / SEOCH Participant 1 - 2 weeks DCASS-Form 13
9.2 User Profile for Delegated Administrator for New HKCC / SEOCH Participant 1 - 2 weeks DCASS-Form 14
9.3 Guidence Notes on Setting Up CCMS User Profile (for New HKCC / SEOCH Participant) For reference
9.4 Administration Right Listing For reference
9.5 User Access Level Assignment For reference
 10.  Application Form for SFTP User IDs for Report Retrieval Solution For Listed Derivatives Market  1 - 2 weeks  DCASS-Form 15
10.1

Report Retrieval Solution For Listed Derivatives Markets Technical Guide

Sample Zip File

For reference
 11. Client Connect Delegated Administrator Rights Application / Maintenance Form    1 - 2 weeks G-Form 11 
11.1 Explanatory Notes on Client Connect Delegated Administrator (CCDA) Functions   For reference  
12. FATCA Documentation    
12.1 Form W-8BEN-E - Certificate of Status of Beneficial Owner for United States Tax Withholding and Reporting (Entities) or any relevant form as applicable 1 - 2 weeks
12.2 Instructions for Form W-8BEN-E For reference

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