Operational Setup for SEOCH Participants

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

	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	Chong Hing Bank Ltd. - House Chong Hing Bank Ltd. - Client
1.3	Citibank N.A. - House Citibank N.A. - Client
1.4	Hang Seng Bank Ltd. - House Hang Seng Bank Ltd. - Client
1.5	Standard Chartered Bank (Hong Kong) Ltd. - House Standard Chartered Bank (Hong Kong) Ltd. - Client
1.6	The Bank of East Asia, Ltd. - House The Bank of East Asia, Ltd. - Client
1.7	The Hongkong and Shanghai Banking Corporation Ltd. - House The Hongkong and Shanghai Banking Corporation Ltd. - Client
1.8	OCBC Bank (Hong Kong) Ltd. - House OCBC Bank (Hong Kong) Ltd. - Client
1.9	CMB Wing Lung Bank Ltd. - House CMB Wing Lung Bank Ltd. - Client
2.	Facsimile Indemnity	1 - 2 weeks
3.	Mandate Authorising SEOCH to transfer collateral and settlement amount to Hong Kong Securities Clearing Company Limited	1 - 2 weeks
3.1	- for CCASS Participant
3.2	- for CCASS NCP
4	Deed of Charge	1 - 2 weeks
4.1	- for CCASS Participant
4.2	- for CCASS NCP
5.	DCASS Subscription and Licence Agreement	1 - 2 weeks
6.	CCASS / CCMS SDNet Line Service Notification Form	6 weeks	G-Form 7
7.	DCASS User Account Maintenance Form	6 weeks	AC 2
7.1	DCASS Online/DCASS OAPI Connectivity Test Confirmation Form	Not Applicable	TechS 1
8.	DCASS Production/Testing Line Application and/or Change of SDNet Bandwidth Notification Form	6 weeks	TechS 5
9.	Change of CCMS / DCASS Contact Persons Form	1 - 2 weeks	DCASS-Form 3
10.	List of Authorised Signatures with Specimen Signatures and Board Resolution (Sample)	2 - 6 weeks	SEOCH-Form 12
11.	Sharing of CCASS3 / CCMS Terminal to Access CCASS / CCMS	1 - 2 weeks	G-Form 10
12.	Documents for setting up Authorised Users
12.1	User Profile for Delegated Administrator for New Participant	1 - 2 weeks	G-Form 13
12.2	Guidance Notes on Setting Up CCASS / CCMS User Profile (for New Participant)	For reference
12.3	Administration Right Listing	For reference
12.4	User Access Level Assignment	For reference
13.	Application Form for SFTP User IDs for Report Retrieval Solution For Listed Derivatives Market	1 - 2 weeks	DCASS-Form 15
13.1	HKCC and SEOCH Report Access Platform (RAP) Technical Guide (Effective starting tentatively between mid and late July 2025, the Report Retrieval Solution will be renamed to RAP, and RAP will be enabled to distribute CCMS reports) Sample Zip File	For reference
14.	Client Connect Delegated Administrator Rights Application / Maintenance Form	1 - 2 weeks	G-Form 11
14.1	Explanatory Notes on Client Connect Delegated Administrator (CCDA) Functions	For reference
15	FATCA Documentation
15.1	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
15.2	Instructions for Form W-8BEN-E	For reference

	Types / Name of Documents	Lead-time required	Form Reference No.