Operations & Technical

Client Connect has become the mandatory channel to submit digitalized requests when related eServices are available. Participants should sign-up for Client Connect by submitting the completed the CCDA Form.

Updated 02 Jan 2020

Removal of company chop requirement – With effect from 6 April 2017, a company chop will not need to be affixed to any forms or documents submitted to HKCC / SEOCH unless a Participant notifies HKCC / SEOCH that a company chop is required. For more details, please refer to the Circular dated 6 March 2017.

*Form submission channel – All forms or documents can be submitted to HKCC / SEOCH in original. Moreover, certain forms duly signed by the authorised signatory(ies) can also be submitted by email or fax as set out in the table below. Please contact DCASS Hotline at 2979-7222 if you have any query of the submission channel.

Updated 22 Sep 2017

Clearing Operations

Forms / eServices	Form # / eService ID	Reference	Submission Channels*
Forms / eServices	Form # / eService ID	Reference	Email	Fax	Client Connect
On-behalf Trade Adjustment Request Form	HKCC-Form 1		yes	yes
On-behalf Trade Give-up/Take-up Request Form	HKCC-Form 2		yes	yes
On-behalf Average Price Trade (APT) Request Form	HKCC-Form 3		yes	yes
On-behalf Internal Position Adjustment Request Form	HKCC-Form 4		yes	yes
On-behalf External Position Transfer Request Form	HKCC-Form 21		yes	yes
On-behalf Annulment of Position Netting Request Form	HKCC-Form 22		yes	yes
Annulment of Position Netting Request Form for position closed by Trade Adjustment/Position transfer/Between Standard and Flexible Options Series	HKCC-Form 23		yes	yes
On-behalf Trade Adjustment Request Form	SEOCH-Form A1		yes	yes
On-behalf Trade Give-up/Take-up Request Form	SEOCH-Form A2		yes	yes
On-behalf Average Price Trade (APT) Request Form	SEOCH-Form A3		yes	yes
On-behalf Internal Position Adjustment Request Form	SEOCH-Form A4		yes	yes
On-behalf Cover/Decover Request Form	SEOCH-Form A7		yes	yes
On-behalf Exercise/ Exercise Adjustment Request Form	SEOCH-Form A8		yes	yes
On-behalf Exercise Criteria Input Request Form	SEOCH-Form A11		yes	yes
On-behalf External Position Transfer Request Form	SEOCH-Form A21		yes	yes
On-behalf Annulment of Position Netting Request Form	SEOCH-Form A22		yes	yes
Annulment of Position Netting Request for position netted by Trade Close Adjustment/Position Transfer	SEOCH-Form A23		yes	yes
Selected Currency Designation Request to HKCC/SEOCH	AC 3				yes
CCMS Collateral Account Designation for Marks, Margin and Concentration Collateral Collection by SEOCH	AC 4				yes
Request on Change of Advance Margin Deposit	HKCC-Form 11		yes	yes
Application/Change Request for Liquid Capital Apportionment	G-Form 8		yes	yes
Delivery Notice for Physically Settled Metal Futures Contract - HKCC	HKCC-Form MF04		yes	yes
Acceptance Notice for Physically Settled Metal Futures Contract - HKCC	HKCC-Form MF05		yes	yes
Delivery Notice After Allocation for Physically Settled Metal Futures Contract - HKCC	HKCC-Form MF06		yes	yes
Settlement Failure Notice for Physically Settled Metal Futures Contract - HKCC	HKCC-Form MF07		yes	yes

Updated 13 Sep 2021

Technical

Forms / eServices	Form # / eServiceID	Reference	Submission Channels*
Forms / eServices	Form # / eServiceID	Reference	Email	Fax	Client Connect
Request for usage of DCASS Backup Centre Form	DCASS-Form S		yes	yes
DCASS/OAPI Connectivity Test Confirmation Request to HKCC / SEOCH	TechS 1				yes
DCASS OAPI Certification Test Application /Confirmation Request to HKCC/SEOCH	TechS 2				yes
DCASS OAPI Program Readiness Declaration Request to HKCC/SEOCH	TechS 3				yes
Request to HKCC/SEOCH for accessing DCASS OAPI Testing Environment	TechS 4				yes
DCASS Production / Testing Line Application and/or Change of Bandwidth Notification to HKCC/SEOCH	TechS 5				yes
Sharing of CCASS3/CCMS Terminal to Access CCASS/CCMS	G-Form 10
CCASS/CCMS SDNet Line Service Notification Form	TechS 6				yes

Updated 13 Sep 2021