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交收及存管
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香港結算
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1
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向香港結算遞交豁免補購申請
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Application Form for Exemption of Buy-in
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Application Form for Exemption of Buy-in (China Connect Securities)
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2
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向香港結算遞交提早補購要求
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Early Buy-in Request Form
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3
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遞交特別補購要求
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Buy-in Reporting Slip
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Request Letter for Exemption of Special Buy-in
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4
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向香港結算提出補購要求 (只應用於中央結算系統已劃分的買賣)
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Buy-in Request Form (for CCASS Isolated Trades only)
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Withdrawal of Buy-in Request Form (for CCASS Isolated Trades only)
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5
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向香港結算遞交股息/紅股申請
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Dividend/Bonus Claim Letter
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6
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向香港結算發出跨境轉移指示
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Cross-border Transfer Instruction Form: Foreign Securities - "Deliver Free of Payment" Instruction
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Cross-border Transfer Instruction Form: Foreign Securities - "Receive Free of Payment" Instruction
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Cross-border Transfer Instruction Form: Foreign Securities - Cancel "Receive Free of Payment" Instruction
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7
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向香港結算發出轉移指示（已除牌股份）
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(Written application)
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8
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短倉結算參與者的股份權益戶口記除授權通知
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Authorization Letter from the short clearing participant for debiting their stock entitlement account
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9
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申請與公司行為相關的指定面額的證書
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-
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10
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向香港結算遞交公司通訊要求
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Corporate Communications Mailing Address Label Data File transmitted from HKSCC to share registrars
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11
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向結算公司申請提取費用優惠 (預先批核)
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Application for Withdrawal Fee Concession (Condition 1) - Sample Application Letters
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Application for Withdrawal Fee Concession (Condition 2) - Sample Application Letters
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12
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向結算公司申請提取費用優惠 (正式批核)
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Application for Withdrawal Fee Concession (Condition 1) - Sample Application Letters
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Application for Withdrawal Fee Concession (Condition 2) - Sample Application Letters
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13
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向結算公司申請登記過戶費優惠(預先批核)
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Application for Scrip Fee Concession - Sample Application Letter from Transferee
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Application for Scrip Fee Concession - Sample Application Letter from Transferor
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Application for Scrip Fee Concession - Sample Application Letter from Client
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14
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向結算公司申請登記過戶費優惠(正式批核)
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Application for Scrip Fee Concession - Sample Application Letter from Transferee
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Application for Scrip Fee Concession - Sample Application Letter from Transferor
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Application for Scrip Fee Concession - Sample Application Letter from Client
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參與者戶口/會員管理
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香港結算
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15
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要求香港結算處理不附結單服務的股份獨立戶口
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Stock Segregated Account Maintenance Form – Without Statement
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16
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向香港結算發出轉移指示（債務工具中央結算系統）
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Transfer Instruction Form - Exchange Fund Notes, Government Bonds, Specified Instruments or CMU Instruments - Receive "Delivery Versus Payment" Instruction
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Transfer Instruction Form - Exchange Fund Notes, Government Bonds, Specified Instruments or CMU Instruments - Receive "Free of Payment" Instruction
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Transfer Instruction Form - Exchange Fund Notes, Government Bonds, Specified Instruments or CMU Instruments - Deliver "Delivery Versus Payment" Instruction
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Transfer Instruction Form - Exchange Fund Notes, Government Bonds, Specified Instruments or CMU Instruments - Deliver "Free of Payment" Instruction
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Transfer Instruction Cancellation Form - Exchange Fund Notes, Government Bonds, Specified Instruments or CMU Instruments - Cancel Receive "Delivery Versus Payment" Instruction
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Transfer Instruction Cancellation Form - Exchange Fund Notes, Government Bonds, Specified Instruments or CMU Instruments - Cancel Receive "Free of Payment" Instruction
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17
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要求香港結算進行股票戶口配對以使用滬港通及深港通
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Stock Account Mapping Maintenance Form for the Use of Shanghai and Shenzhen Stock Connect
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18
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給香港結算的常設指示 — 透過「票據交換所自動轉賬系統付款指示」結算即日差額、即日額外按金及即日內地結算備付金
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Standing Instruction for Settlement of Intra-day Marks, Intra-day Margin and Intra-day Mainland Settlement Deposit by CHATS Payment Instruction (CPI)
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19
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CCCP申請以使用滬港通及深港通
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Registration for the Use of Shanghai-Hong Kong Stock Connect and Shenzhen-Hong Kong Stock Connect
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Confirmation of Readiness for the Use of Shanghai-Hong Kong Stock Connect and Shenzhen-Hong Kong Stock Connect
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Undertaking for the Use of Shanghai-Hong Kong Stock Connect
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Undertaking for the Use of Shenzhen-Hong Kong Stock Connect
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聯交所
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20
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CCEP申請以使用滬港通及深港通
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Registration for the Use of Shanghai-Hong Kong Stock Connect and Shenzhen-Hong Kong Stock Connect
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Confirmation of Readiness for the Use of Shanghai-Hong Kong Stock Connect and Shenzhen-Hong Kong Stock Connect
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Undertaking for the Use of Shanghai-Hong Kong Stock Connect
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Undertaking for the Use of Shenzhen-Hong Kong Stock Connect
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期貨結算公司/期權結算所
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21
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提交DCASS戶口維護設定申請予期貨結算公司 / 期權結算所
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DCASS Account Maintenance Form (HKCC)
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Maintenance of OBEP Individual Client Account Form
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22
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期貨結算公司/期權結算所選定指定貨幣以收取按金
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Selected Currency Designation Form
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23
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指定期權結算所的CCMS抵押品戶口收取差額、按金及集中抵押品請求
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CCMS Collateral Account Designation Form for Marks, Margin and Concentration Collateral Collection by SEOCH
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24
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提交DCASS用戶設定申請予期貨結算公司/期權結算所
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DCASS User Account Maintenance Form
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Application Form for DCASS/CCMS Terminal
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聯交所/
香港結算
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25
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要求香港結算處理特別獨立戶口及其指定執行經紀維護
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Special Segregated Account and Designated Executing Broker Maintenance Form
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香港結算
/期貨結算公司/期權結算所
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26
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更改公司名稱
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Change of Company Name Form
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27
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更改公司資料及聯絡人
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Change of Account Information Form
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Change of CCMS / DCASS Contact Persons Form
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28
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管理人仕及認可使用者智能卡維護
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User Profile for Delegated Administrator (DA)
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Smartcard Request Form for CCASS/CCMS User
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Report Loss of Smartcard
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29
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訂取智能卡讀取器
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Order Form for Smartcard Reader(s)
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30
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更改獲授權簽署人士
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Change of Authorised Signatories Form
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31
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更新銀行賬戶
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Additional/ Change of HKD Designated Bank Account Form
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Change of USD Designated Bank Account Form
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Change of RMB Designated Bank Account Form
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Setup of USD Designated Bank Account Form
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Setup of RMB Designated Bank Account Form
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Change of Designated/Settlement Bank Account Form
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32
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認可使用者智能卡維護（PG或特別要求）
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Smartcard User Profile List
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33
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要求重印CCASS/CCMS/DCASS報告及數據文檔
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Report Reprint Request Form
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Request for Retrieving DCASS/CCMS Reports and Data Files Form
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技術設置
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香港結算
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34
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向香港結算確認購買PG及有關解說文件
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PG Acquisition Confirmation Reply and Explanatory Notes
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期貨結算公司/期權結算所
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35
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提交申請登入DCASS OAPI 測試環境予期貨結算公司/期權結算所
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Request Form for accessing DCASS OAPI Testing Environment
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36
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提交DCASS生產/測試線路申請及/或變更頻寬通知予期貨結算公司/期權結算所
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DCASS Central/Network Gateway/Testing Line Application and/or Change of SDNet Bandwidth Notification Form
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37
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提交DCASS/OAPI 連接測試確認請求予期貨結算公司/期權結算所
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DCASS Server and/or DCASS OAPI Connectivity Test Confirmation
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38
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提交DCASS OAPI認證測試申請/確認要求予期貨結算公司/期權結算所
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DCASS OAPI Certification Test Application/Confirmation Form
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39
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提交DCASS OAPI計劃程式準備就緒聲明要求予期貨結算公司/期權結算所
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DCASS OAPI Program Readiness Declaration Form
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香港結算
/期貨結算公司/期權結算所
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40
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CCASS/CCMS SDNet 線路服務通知
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CCASS/CCMS SDNet Line Service Notification Form for HKSCC/HKCC/SEOCH Participants/HKSCC Designated Banks
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活動
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共同
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41
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活動登記
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N/A
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文件傳送
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香港結算
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42
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提交與下載
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N/A
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