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Client Connect

The Next Generation Post Trade Programme, or NextGen, goes beyond simply modernising our platforms – it will prepare HKEX and strengthen its competitive advantages amid a rapidly changing business, technology and regulatory environment. In particular, HKEX is focused on ensuring that our platform is able to best serve the existing and future needs of market participants and investors. The introduction of the Client Connect is one of the major deliverables in the initial phase.

 

Log on to Client Connect

Client Connect Log on

(updated on 14 May 2019)

 

On-boarding Information:

Client Connect Delegated Administrator Rights Application / Maintenance Form

Explanatory Notes

Client Connect Business User Rights Application / Maintenance Form (For Assignment of Business User Rights to Settlement Agent only)

Client Connect Terms and Conditions 

(updated on 21 Nov 2019)

 

OVERVIEW

The Client Connect aims to provide a single platform to unify all client access to HKEX services. Its primary objectives are:

  • To enhance the HKEX service offering by digitizing the majority of paper-based services
  • To simplify and enhance operational efficiency
  • To prepare for future integration with other NextGen applications

 

KEY FEATURES

The Client Connect provides access to Participants services through a secured web-based user interface.  The key features include:

  • 2-factor authentication (2nd password via email or mobile app)
  • Accessible from PC/tablet/mobile
  • Agile user account structure to support multiple memberships
  • Customized service access based on the user access right
  • Access to eServices which will replace current paper/fax based operations
  • Built-in intelligence to auto-fill and validate the eService input
  • Built-in workflow for maker-checker control
  • Email/on-screen notifications of outstanding tasks
  • Dashboard to show the outstanding and historical tasks with search and filter functions
  • Electronic enrolment for seminars and events
  • Centralized technical document download area

KEY BENEFITS
  • Access to the Service from anywhere at anytime
  • Single front-end with modern and secured accessibility
  • User-friendly dashboard to keep track of service request status
  • No more physical signatures and company chops
  • No more completion and scanning of physical forms
  • Full audit trail of the service request process

 

SCHEDULE

Client Connect Release 2 has been successfully launched on 02 Dec 2019. Please refer to the below table for the full list of available eServices in Client Connect. 

 

eSERVICE COVERAGE

The initial eServices coverage will focus on approximately 45 manual activities focusing on Settlement & Depository activities, Participantship Management, Technical Setup and participation in events.  Certain existing manual forms will be consolidated into a single eService to facilitate multiple instructions/ applications through one submission. 

 

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DETAILS OF ALL AVAILABLE eSERVICES

The list below contains all available eServices in Client Connect.

Category

Clearing House

#

Type of eService

Existing forms

Settlement and Depository

HKSCC

1

Application to HKSCC for Exemption of Buy-in

Application Form for Exemption of Buy-in

Application Form for Exemption of Buy-in (China Connect Securities)

2

Early Buy-in Request to HKSCC

Early Buy-in Request Form

3

Request for Special Buy-In

Buy-in Reporting Slip

Request Letter for Exemption of Special Buy-in

4

Buy-in Request to HKSCC for CCASS Isolated Trades only

Buy-in Request Form (for CCASS Isolated Trades only)

Withdrawal of Buy-in Request Form (for CCASS Isolated Trades only)

5

Dividend Bonus Claim Submission to HKSCC

Dividend/Bonus Claim Letter

6

Cross-border Transfer Instruction (Foreign Securities) to HKSCC

Cross-border Transfer Instruction Form: Foreign Securities - "Deliver Free of Payment" Instruction

Cross-border Transfer Instruction Form: Foreign Securities - "Receive Free of Payment" Instruction

Cross-border Transfer Instruction Form: Foreign Securities - Cancel "Receive Free of Payment" Instruction

7

Transfer Instruction to HKSCC (for delisted stock)

(Written application)

8

Authorization to HKSCC from the short clearing participant for debiting their stock entitlement account

Authorization Letter from the short clearing participant for debiting their stock entitlement account

9

Denomination of certificate

-

10

Corporate Communication Request to HKSCC

Corporate Communications Mailing Address Label Data File transmitted from HKSCC to share registrars

11

Application to HKSCC for Withdrawal Fee Concession (Pre-approval)

Application for Withdrawal Fee Concession (Condition 1) - Sample Application Letters

Application for Withdrawal Fee Concession (Condition 2) - Sample Application Letters

12

Application to HKSCC for Withdrawal Fee Concession (Final approval)

Application for Withdrawal Fee Concession (Condition 1) - Sample Application Letters

Application for Withdrawal Fee Concession (Condition 2) - Sample Application Letters

13

Application to HKSCC for Scrip Fee Concession (Pre-approval)

Application for Scrip Fee Concession - Sample Application Letter from Transferee

Application for Scrip Fee Concession - Sample Application Letter from Transferor

Application for Scrip Fee Concession - Sample Application Letter from Client

14

Application to HKSCC for Scrip Fee Concession (Final approval)

Application for Scrip Fee Concession - Sample Application Letter from Transferee

Application for Scrip Fee Concession - Sample Application Letter from Transferor

Application for Scrip Fee Concession - Sample Application Letter from Client

Participantship Management

HKSCC

15

Stock Segregated Account - Without Statement Maintenance Request to HKSCC

Stock Segregated Account Maintenance Form – Without Statement

16

Transfer Instruction (CMU) to HKSCC

Transfer Instruction Form - Exchange Fund Notes, Government Bonds, Specified Instruments or CMU Instruments - Receive "Delivery Versus Payment" Instruction

Transfer Instruction Form - Exchange Fund Notes, Government Bonds, Specified Instruments or CMU Instruments - Receive "Free of Payment" Instruction

Transfer Instruction Form - Exchange Fund Notes, Government Bonds, Specified Instruments or CMU Instruments - Deliver "Delivery Versus Payment" Instruction

Transfer Instruction Form - Exchange Fund Notes, Government Bonds, Specified Instruments or CMU Instruments - Deliver "Free of Payment" Instruction

Transfer Instruction Cancellation Form - Exchange Fund Notes, Government Bonds, Specified Instruments or CMU Instruments - Cancel Receive "Delivery Versus Payment" Instruction

Transfer Instruction Cancellation Form - Exchange Fund Notes, Government Bonds, Specified Instruments or CMU Instruments - Cancel Receive "Free of Payment" Instruction

17

Stock Account Mapping Maintenance to HKSCC for the Use of Shanghai and Shenzhen Stock Connect

Stock Account Mapping Maintenance Form for the Use of Shanghai and Shenzhen Stock Connect

18

Standing Instruction to HKSCC for Settlement of Intra-day Marks, Intra-day Margin and Intra-day Mainland Settlement Deposit by CPI

Standing Instruction for Settlement of Intra-day Marks, Intra-day Margin and Intra-day Mainland Settlement Deposit by CHATS Payment Instruction (CPI)

19

Registration as a Clearing Participant registered to use the Clearing Link for the Clearing and Settlement of Transactions Involving China Connect Securities

Registration for the Use of Shanghai-Hong Kong Stock Connect and Shenzhen-Hong Kong Stock Connect

Confirmation of Readiness for the Use of Shanghai-Hong Kong Stock Connect and Shenzhen-Hong Kong Stock Connect

Undertaking for the Use of Shanghai-Hong Kong Stock Connect

Undertaking for the Use of Shenzhen-Hong Kong Stock Connect

SEHK

20

Registration as an Exchange Participant registered to use the Trading Link to trade in China Connect Securities

Registration for the Use of Shanghai-Hong Kong Stock Connect and Shenzhen-Hong Kong Stock Connect

Confirmation of Readiness for the Use of Shanghai-Hong Kong Stock Connect and Shenzhen-Hong Kong Stock Connect

Undertaking for the Use of Shanghai-Hong Kong Stock Connect

Undertaking for the Use of Shenzhen-Hong Kong Stock Connect

HKCC /SEOCH

21

DCASS Account Maintenance Request to HKCC/SEOCH

DCASS Account Maintenance Form (HKCC)

Maintenance of OBEP Individual Client Account Form

22

Selected Currency Designation Request to HKCC/SEOCH

Selected Currency Designation Form

23

CCMS Collateral Account Designation for Marks, Margin and Concentration Collateral Collection by SEOCH

CCMS Collateral Account Designation Form for Marks, Margin and Concentration Collateral Collection by SEOCH

24

DCASS User Account Maintenance Request to HKCC/SEOCH

DCASS User Account Maintenance Form

Application Form for DCASS/CCMS Terminal

SEHK /HKSCC

25

Special Segregated Account and Designated Executing Broker Maintenance Request to HKSCC

Special Segregated Account and Designated Executing Broker Maintenance Form

HKSCC /HKCC /SEOCH

26

Change of Company Name

Change of Company Name Form

27

Change of Company Particulars and Contact Persons

Change of Account Information Form

Change of CCMS / DCASS Contact Persons Form

28

Order Smartcard Reader(s)

Order Form for Smartcard Reader(s)

29

Smartcard Maintenance for User and DA

User Profile for Delegated Administrator (DA)

Smartcard Request Form for CCASS/CCMS User

Report Loss of Smartcard

30

Change of Authorised Signatories

Change of Authorised Signatories Form

31

Update Bank Account

Additional/ Change of HKD Designated Bank Account Form

Change of USD Designated Bank Account Form

Change of RMB Designated Bank Account Form

Setup of USD Designated Bank Account Form

Setup of RMB Designated Bank Account Form

Change of Designated/Settlement Bank Account Form

32

Smartcard Maintenance for user (PG or Special Request)

Smartcard User Profile List

33

Request for Retrieving DCASS/CCMS/CCASS Reports and Data Files

Report Reprint Request Form

Request for Retrieving DCASS/CCMS Reports and Data Files Form

Technical setup

HKSCC

34

PG Acquisition Confirmation Reply to HKSCC

PG Acquisition Confirmation Reply and Explanatory Notes

HKCC /SEOCH

35

Request to HKCC/SEOCH for accessing DCASS OAPI Testing Environment

Request Form for accessing DCASS OAPI Testing Environment

36

DCASS Production / Testing Line Application and/or Change of Bandwidth Notification to HKCC/SEOCH

DCASS Central/Network Gateway/Testing Line Application and/or Change of SDNet Bandwidth Notification Form

37

DCASS/OAPI Connectivity Test Confirmation Request to HKCC / SEOCH

DCASS Server and/or DCASS OAPI Connectivity Test Confirmation

38

DCASS OAPI Certification Test Application/Confirmation Request to HKCC/SEOCH

DCASS OAPI Certification Test Application/Confirmation Form

39

DCASS OAPI Program Readiness Declaration Request to HKCC/SEOCH

DCASS OAPI Program Readiness Declaration Form

HKSCC /HKCC /SEOCH

40

CCASS/CCMS SDNet Line Service Notification

CCASS/CCMS SDNet Line Service Notification Form for HKSCC/HKCC/SEOCH Participants/HKSCC Designated Banks

Event

Common

41

Activity Enrolment

N/A

File Transmission

HKSCC

42

Submission and Download

N/A

 

CONTACT US:

Email: ClientConnect@hkex.com.hk

 

DISCLAIMER

HKEX and/or its subsidiaries endeavour to ensure the accuracy and reliability of the information provided, but do not guarantee its accuracy and reliability and accept no liability (whether in tort or contract or otherwise) for any loss or damage arising from any inaccuracy or omission or from any decision, action or non-action based on or in reliance upon information contained in this information sheet.



Updated 05 Dec 2019

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