mobile search

Client Connect User Manual

Table of Contents

Amendment Log

 

Section 1 Introduction (updated as of December 2019)

 

Section 2 Client Connect Overview (updated as of April 2019)

 

Section 3 Getting Started for Client Connect

3.1         Access Control (updated as of April 2019)

3.2         User Management (updated as of December 2019)

3.3         Password (updated as of March 2020)

3.4         Login and Logoff (updated as of April 2019)

3.5         Screen Standards (updated as of April 2019)

 

Section 4 eService Functions

4.1         Settlement and Depository

              HKSCC

Set 1      Application to HKSCC for Exemption of Buy-in (updated as of April 2019)

Set 2      Early Buy-in Request to HKSCC (updated as of April 2019)

Set 3      Request for Special Buy-In  (updated as of April 2019)     

Set 4      Buy-in Request to HKSCC for CCASS Isolated Trades only (updated as of April 2019)

Set 5      Authorization to HKSCC from the short clearing participant for debiting their stock entitlement account (updated as of December 2019)

Nom 1    Dividend Bonus Claim Submission to HKSCC (updated as of August 2019)

Nom 2    Denomination of certificate (updated as of December 2019)

Nom 3    Corporate Communication Request to HKSCC (updated as of December 2019)

Dep 1A   Application to HKSCC for Withdrawal Fee Concession (Pre-approval) (updated as of March 2020)

Dep 1B   Application to HKSCC for Withdrawal Fee Concession (Final approval) (updated as of March 2020)

Dep 2A   Application to HKSCC for Scrip Fee Concession (Pre-approval) (updated as of December 2019)

Dep 2B   Application to HKSCC for Scrip Fee Concession (Final approval) (updated as of December 2019)

Dep 5     Cross-Border Transfer Instruction (Foreign Securities) to HKSCC (updated as of August 2019)

Dep 6     Transfer Instruction to HKSCC (for delisted stock) (updated as of August 2019)

 

4.2         Participantship Management

              HKSCC

AC 5      Stock Account Mapping Maintenance to HKSCC for the Use of Shanghai and Shenzhen Stock Connect (updated as of December 2019)

AC 14    Stock Segregated Account - Without Statement Maintenance Request to HKSCC (updated as of April 2019)

AC 15    Standing Instruction to HKSCC for Settlement of Intra-day Marks, Intra-day Margin and Intra-day Mainland Settlement Deposit by CPI (updated as of December 2019)

Dep 3    Transfer Instruction (CMU) to HKSCC (updated as of December 2019)

PAM 2   Registration As A Clearing Participant Registered To Use The Clearing Link For The Clearing And Settlement Of Transactions Involving China Connect Securities (updated as of December 2019)

 

             SEOCH

AC 4     CCMS Collateral Account Designation for Marks, Margin and Concentration Collateral Collection by SEOCH (updated as of April 2019)

 

             SEHK

PAM 1   Registration As An Exchange Participant Registered To Use The Trading Link To Trade In China Connect Securities (updated as of December 2019)

 

              HKCC / SEOCH

AC 1      DCASS Account Maintenance Request to HKCC/SEOCH (updated as of April 2019)

AC 2      DCASS User Account Maintenance Request to HKCC/SEOCH (updated as of December 2019)

AC 3      Selected Currency Designation Request to HKCC/SEOCH (updated as of April 2019)

 

             HKSCC/SEHK

AC 6     Special Segregated Account and Designated Executing Broker Maintenance Request to HKSCC (updated as of August 2019)

 

              HKSCC/HKCC/SEOCH

AC 9      Change of Company Name (updated as of April 2019)

AC 11    Change of Authorised Signatories (updated as of December 2019)

AC 12    Update Bank Account (updated as of December 2019)

AC 13    Change of Company Particulars and Contact Persons (updated as of April 2019)

SCard 1 Smartcard Maintenance for User and DA (updated as of April 2019)

SCard 2 Smartcard Maintenance for user (PG or Special Request) (updated as of December 2019)

SCard 3 Order Smartcard Reader(s) (updated as of April 2019)

RR 1      Request for Retrieving DCASS/CCMS/CCASS Reports and Data Files (updated as of December 2019)

 

4.3         Technical setup

              HKSCC

TechS 7 PG Acquisition Confirmation Reply to HKSCC (updated as of December 2019)

 

              HKCC/SEOCH

TechS 1 DCASS/OAPI Connectivity Test Confirmation Request to HKCC / SEOCH (updated as of December 2019)

TechS 2 DCASS OAPI Certification Test Application /Confirmation Request to HKCC/SEOCH (updated as of December 2019)

TechS 3 DCASS OAPI Program Readiness Declaration Request to HKCC/SEOCH (updated as of December 2019)

TechS 4 Request to HKCC/SEOCH for accessing DCASS OAPI Testing Environment  (updated as of April 2019)

TechS 5 DCASS Production / Testing Line Application and/or Change of Bandwidth Notification to HKCC/SEOCH (updated as of April 2019)

 

              HKSCC/HKCC/SEOCH

TechS 6 CCASS/CCMS SDNet Line Service Notification (updated as of April 2019)

 

4.4         Event

Event ID Activity Enrolment (updated as of April 2019)

 

4.5         File Transmission

UD         Submission and Download (updated as of April 2019)

UD         Submission and Download (For Share Registrar) (updated as of December 2019)

 

Appendix

1            eService Workflow Type and Statuses (updated as of December 2019)

2            User roles (updated as of August 2019)

3            List of Function ID Mapping by Type of Users (updated as of April 2020)

4            List of Function ID Mapping with eService/Form (updated as of December 2019)

5            List of eService by Clearing House (updated as of December2019)


Updated 20 Apr 2020

Loading