Market Turnover
-






-
-
|
|
|
|
|
|
-
-
-
Loading

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
  List of settlement banks supported the Derivatives Holiday Trading can be found at https://www.hkex.com.hk/-/media/HKEX-Market/Services/Trading/Derivatives/Trading-Mechanism/Derivatives-Holiday-Trading/List-of-H-banks.pdf    
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 Bank (Hong Kong) Ltd. - House
OCBC Bank (Hong Kong) 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  AC 2
4.1 DCASS Online/DCASS OAPI Connectivity Test Confirmation Form Not Applicable TechS 1
5.
DCASS Production/Testing Line Application and/or Change of SDNet Bandwidth Notification Form 6 weeks
TechS 5
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 User Profile for Delegated Administrator for New Participant 1 - 2 weeks G-Form 13
9.2 Guidence Notes on Setting Up CCASS / CCMS User Profile (for New  Participant) For reference
9.3 Administration Right Listing For reference
9.4 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 Derivatives Markets - Technical Guide (Effective until 20 December 2024)

Sample Zip File (Effective until 20 December 2024)

Upgraded Report Retrieval Solution For Derivatives Markets - Technical Guide (Effective from 7 October 2024)

Sample Zip File (Effective from 7 October 2024)

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