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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.  Registration Form for Report Access Platform (RAP) 1 - 2 weeks  G-Form 20
13.1

HKCC and SEOCH Report Access Platform (RAP) Technical Guide 

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