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Participantship/Membership

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Updated 13 Sep 2018

Clearing Participantship application process update – With effect from 2 January 2018, an applicant applying for Clearing Participantship of HKCC must become a Type 2 SFC licensed entity and an applicant applying for Clearing Participantship of SEOCH must become a Type 1 SFC licensed entity before submitting the operations and risk control plan for HKEX’s review. HKEX has also updated the information / documentation needed for Clearing Participantship application as set out in more details in the Explanatory Notes for Application for Participantship and Trading Right. Applicants who have already submitted the operations and risk control plan or submitting their plans to HKEX on or before 31 January 2018 based on the guidelines provided by HKEX prior to 2 January 2018 will not be affected by the changes unless being informed otherwise by the HKEX.

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 29 Dec 2017

Participant/Member Admission

Forms Form # Reference Additional submission Channels*
Email Fax Client Connect
Application for Participantship and Trading Right 1 Explanatory Notes 

 
Financial Statement 1E


 
Personal Information Collection Statement 4A


 
SEOCH Participantship Agreement nil


 
Certificate of Status of Beneficial Owner for United States Tax Withholding and Reporting (Entities) W-8BEN-E  Instructions for Form W-8BEN-E      
nil 
       
Operational Setup Forms (SEOCH) - Mandate Authorising SEOCH to transfer collateral and settlement amount to Hong Kong Securities Clearing Company Limited (for CCASS Participant) nil


 
Operational Setup Forms (SEOCH) - Mandate Authorising SEOCH to transfer collateral and settlement amount to Hong Kong Securities Clearing Company Limited (for CCASS NCP) nil


 
Operational Setup Forms (SEOCH) - Deed of Charge (for CCASS Participant) nil


 
Operational Setup Forms (SEOCH) - Deed of Charge (for CCASS NCP) nil


 
Operational Setup Forms (SEOCH) - DCASS Subscription and Licence Agreement nil


 
Operational Setup Forms (HKCC) - DCASS Subscription and Licence Agreement  nil        
SEOCH-Form 12 
       
HKCC-Form 12 
       
DCASS-Form 3 
       yes
DCASS-Form 6 
  yes  yes   
Operational Setup Forms (HKCC & SEOCH) - DCASS Central/Network Gateway/Testing Line Application and/or Change of SDNet Bandwidth Notification Form DCASS-Form 8


 yes
DCASS-Form 13



 
DCASS-Form 14


 
Application Form for SFTP User IDs for Report Retrieval Solution at Listed Derivatives Market  DCASS-Form 15

Technical Guide

Sample Zip File

 yes    
G-Form 7 
       yes
Operational Setup Forms (HKCC & SEOCH) - Sharing of CCASS3/CCMS Terminal to Access CCASS/CCMS G-Form 10


 

Updated 15 May 2019

Participant/Member Account Maintenance

Updated 15 May 2019

Participantship - Others

Updated 10 Oct 2018

Notification

Updated 10 Oct 2018

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