OTC Clear Operational Forms

Operational Setup for OTC Clear Clearing Members

	Name of Document	Tentative lead-time
1.	Information Pack the Securities and Derivatives Network/2 (SDNet/2)	For reference. Telecom services providers will typically need 4 - 8 weeks for set-up.
2.	OTC Account Services Information System (OASIS) Configuration Guide	For reference
3.	OASIS Account Maintenance Form	2 weeks
4.	Change of Company Particulars and Contact Person Form	2 weeks
5.	Change of Authorised Signatures	1 - 2 weeks
6.	Risk Limit Maintenance Form	1 - 2 weeks
7.	Intra-day Collateral Deposit / Withdrawal Request Form	For contingency use only
8.	Request Form for retrieving OASIS reports	For contingency use only
9.	Request for Change of Products Accepted for Clearing	2 weeks
10.	Request for Change of Fee Tariff Type	1 – 2 weeks
11.	Supplementary Notes on Clearing Fees Charged by OTC Clear	For reference
12.	ATRS Identifier Maintenance Form	1 – 2 weeks
13.	Change of Solo Compression Service Form	1 – 2 weeks
14.	Request for the use of SFTP report download service	1 – 2 weeks
15.	Money Settlement Maintenance Form	1 – 2 weeks
16.	Use of Excess Margin Collateral to Cover Stress Loss	5 business days
17.	Request for Termination of Membership	1 – 2 weeks
18.	Information related to Regulatory Reporting	1 – 2 weeks
19.	Process Agent Information required from Remotely Regulated Entity	1 – 2 weeks
20.	Non-Cash Collateral Account Set-up Form	1 – 2 weeks

	Name of Document	Tentative lead-time

	Name of Document	Executed by
1.	Client Onboarding Request Form	Clearing Broker
2.	Information of Client’s Replacement Clearing Member and Settlement Instruction	Client
3.	Request Form for porting of Contracts and Collateral amongst Client Accounts	Clearing Broker and Client
	Reply Form for porting of Contracts and Collateral amongst Client Accounts	Clearing Broker
4.	Request Form for Full Portfolio Transfer	Transferee Clearing Member and Client
	Reply Form for Full Portfolio Transfer (Transferor)	Transferor Clearing Member
	Reply Form for Full Portfolio Transfer (Transferee)	Transferee Clearing Member
5.	Request Form for Partial Portfolio Transfer	Transferee Clearing Member and Client
	Reply Form for Partial Portfolio Transfer (Transferor)	Transferor Clearing Member
	Reply Form for Partial Portfolio Transfer (Transferee)	Transferee Clearing Member
6.	Security Deed (applicable only for Clearing Broker incorporated in the People’s Republic of China (excluding Hong Kong, Macao Special Administrative Region, and the Taiwan area))	Clearing Broker
7.	Client Clearing Services Authorisation and Consent Form	Clearing Broker

	Name of Document	Executed by

	Name of document
1.	Request form for new non-cash collateral instrument set-up
2.	Request form for the withdrawal of non-cash collateral redemption proceeds

	Name of document

Updated 05 Jun 2023