Market Turnover
-
-
-
|
|
|
|
|
|
-
-
-
Building the Marketplace
of the Future
繁
简
About HKEX
About HKEX
Investor Relations
Corporate Governance
CSR
Media Centre
Careers
Related Sites: LME
HKEX Group
LME
Bond Connect
QME
HKEXnews
GEM
CESC
Sustainable & Green Exchange (STAGE)
Client Connect
Latest Market Data
Our Products
Securities
Equities
Exchange Traded Products
Structured Products
Real Estate Investment Trusts
Debt Securities
Listed Derivatives
Equity Index
Single Stock
Foreign Exchange
Interest Rate
Commodities
OTC Derivatives
Eligible OTC Clear Products
Interest Rate Swaps
Non Deliverable Forwards
Cross Currency Swaps
Deliverable FX
Find a Partner
MSCI Index Futures & Options
HKEX Sustainable & Green Exchange
Our Services
Trading
Securities
Overview
Infrastructure
Derivatives
Overview
Infrastructure
Connectivity
Hosting Services
SDNet/2
Market Data Services
Real Time Data Services
Historical Data Services
Infrastructure
Rules, Forms & Fees
Rules
Forms
Fees
Clearing
Securities
Overview
Infrastructure
Risk Management
CCP Disclosures
Listed Derivatives
Overview
Infrastructure
Risk Management
CCP Disclosures
OTC Clear
Overview
Infrastructure
Risk Management
CCP Disclosures
Settlement and Depository
Settlement - Securities
Depository
Common Nominee Services
Securities Admission into CCASS
PFMI
Unclaimed Entitlements Held by HKSCC Nominees Limited
Platform Services
VaR Platform
Client Connect
FINI: IPO settlement reform
Corporate Action Messaging Standardisation
Circulars & Notices
Become a Participant
HKEX Connect Hall
Join Our Markets
IPO
Listing with HKEX
GEM
Northbound and Southbound
Stock Connect
Bond Connect
Commodities
LME
QME
Sustainable Finance
Sustainable & Green Exchange (STAGE)
Core Climate
IPO Express (Issue 5)
HKEX in Biotech (Jul 2021)
Core Climate
Listing Regulations
How We Regulate
Overview
Listing Newsletters
Listing Committee
Listing Review Committee
Listing Policy Panel Report
Rules and Guidance
Listing Rules
Interpretation and Guidance
Listing of Overseas Companies
Listing of Biotech Companies
Listing e-Forms
IPO
Application Proof, PHIP and Related Materials
New Listing Information
Listing Matters regarding Sponsor Regulation and Intermediaries Regulation
Listing Document Simplification Guide
Other Materials
e-Learning
Listed Issuers
Issuers' Continuing Obligations & Annual Listing Fees
Guides on the Exchange's Practices and Procedures for Handling Listing-related Matters
e-Learning
Current topics
Exchange's Reports
Structured Products
Products and Issuers' Information
Frequently Asked Questions
Guidance
Liquidity Provision
Debt Securities
Summary of Listing Requirements for Debt Issues to Professional Investors Only
Frequently Asked Questions for Debt Issues to Professional Investors Only
Guidance
Disciplinary & Enforcement
Overview
Disciplinary Procedures
Enforcement Guidance Materials
Disciplinary Sanctions
Enforcement Bulletin
Enforcement Statistics
Request for Assistance
Sustainability & Corporate Governance
ESG Academy
Board Diversity & Inclusion in Focus
Corporate Governance Practices
What's New
Listing Newsletters
Contact Us / Make a Complaint
News Centre
Corporate News Releases
Regulatory Announcements
Market Communications
Market Consultations
News Centre
HKEX Calendar
Research Reports
Connect Scheme
Stock Connect
Bond Connect
Invest China A
Daily Statistics
Market Highlights
Eligible Securities
Market Data
Stock Quote Lookup
Securities Prices
Equities
Exchange Traded Products
Derivative Warrants
Inline Warrants
Callable Bull / Bear Contracts
Real Estate Investment Trusts
Debt Securities
Futures & Options Prices
Equity Index
Single Stock
Foreign Exchange
Interest Rate
Commodities
Statistics
Consolidated Reports
Securities Market
Derivatives Market
Participant
Clearing, Settlement and Depository
HKEXnews
News Alerts
Market Data Services
Building the Marketplace
of the Future
About HKEX
About HKEX
Investor Relations
Corporate Governance
CSR
Media Centre
Careers
Related Sites: LME
HKEX Group
LME
Bond Connect
QME
HKEXnews
GEM
CESC
Sustainable & Green Exchange (STAGE)
Client Connect
繁
简
Our
Products
Securities
Equities
Exchange Traded Products
Structured Products
Real Estate Investment Trusts
Debt Securities
Listed Derivatives
Equity Index
Single Stock
Foreign Exchange
Interest Rate
Commodities
OTC Derivatives
Eligible OTC Clear Products
Interest Rate Swaps
Non Deliverable Forwards
Cross Currency Swaps
Deliverable FX
Find a Partner
Search our directory to find brokers, clearing members, information vendors and more
MSCI Index Futures & Options
HKEX launched 39 MSCI equity index futures and options contracts
HKEX Sustainable & Green Exchange
Collaborating on sustainable finance amongst our stakeholders
Our
Services
Trading
Securities
Overview
Infrastructure
Derivatives
Overview
Infrastructure
Connectivity
Hosting Services
SDNet/2
Market Data Services
Real Time Data Services
Historical Data Services
Infrastructure
Rules, Forms & Fees
Rules
Forms
Fees
Clearing
Securities
Overview
Infrastructure
Risk Management
CCP Disclosures
Listed Derivatives
Overview
Infrastructure
Risk Management
CCP Disclosures
OTC Clear
Overview
Infrastructure
Risk Management
CCP Disclosures
Settlement and Depository
Settlement - Securities
Depository
Common Nominee Services
Securities Admission into CCASS
PFMI
Unclaimed Entitlements Held by HKSCC Nominees Limited
Platform Services
VaR Platform
Client Connect
FINI: IPO settlement reform
Corporate Action Messaging Standardisation
Circulars & Notices
View important information issued by HKEX to Exchange and Clearing House Participants, Market Data vendors and Hosting Services members
Become a Participant
Connect to Hong Kong’s financial market through HKEX
HKEX Connect Hall
A centrally-located venue at the heart of Hong Kong financial hub, the HKEX Connect Hall is an iconic venue for Hong Kong’s financial community.
Join
Our Markets
IPO
Listing with HKEX
GEM
Northbound and Southbound
Stock Connect
Bond Connect
Commodities
LME
QME
Sustainable Finance
Sustainable & Green Exchange (STAGE)
Core Climate
IPO Express (Issue 5)
A deeper and more diverse market
HKEX in Biotech (Jul 2021)
The next chapter: Hong Kong’s growing healthcare financing ecosystem
Core Climate
The new carbon marketplace from HKEX
Listing
Regulations
How We Regulate
Overview
Listing Newsletters
Listing Committee
Listing Review Committee
Listing Policy Panel Report
Rules and Guidance
Listing Rules
Interpretation and Guidance
Listing of Overseas Companies
Listing of Biotech Companies
Listing e-Forms
IPO
Application Proof, PHIP and Related Materials
New Listing Information
Listing Matters regarding Sponsor Regulation and Intermediaries Regulation
Listing Document Simplification Guide
Other Materials
e-Learning
Listed Issuers
Issuers' Continuing Obligations & Annual Listing Fees
Guides on the Exchange's Practices and Procedures for Handling Listing-related Matters
e-Learning
Current topics
Exchange's Reports
Structured Products
Products and Issuers' Information
Frequently Asked Questions
Guidance
Liquidity Provision
Debt Securities
Summary of Listing Requirements for Debt Issues to Professional Investors Only
Frequently Asked Questions for Debt Issues to Professional Investors Only
Guidance
Disciplinary & Enforcement
Overview
Disciplinary Procedures
Enforcement Guidance Materials
Disciplinary Sanctions
Enforcement Bulletin
Enforcement Statistics
Request for Assistance
Sustainability & Corporate Governance
ESG Academy
Board Diversity & Inclusion in Focus
Corporate Governance Practices
What's New
Latest regulatory information issued by Listing
Listing Newsletters
Bi-annual newsletters updating you on listing topics that we think will be of greatest interest to you
Contact Us / Make a Complaint
Get in touch with our Listing Division
News
centre
Corporate News Releases
Regulatory Announcements
Market Communications
Market Consultations
News Centre
Snapshot about HKEX latest news and information
HKEX Calendar
Download or subscribe to our calendar containing trading and clearing information, public holidays and more
Research Reports
Research and survey conducted by HKEX on its securities and derivatives markets and related topics
Connect
Scheme
Stock Connect
Bond Connect
Invest China A
Daily Statistics
Statistics on Shanghai and Shenzhen Connect updated daily
Market Highlights
View the market capitalization, number of listed companies and more in the Hong Kong, Shanghai and Shenzhen markets
Eligible Securities
A list of securities eligible for trading under Shanghai and Shenzhen Stock Connect
Market
Data
Securities Prices
Equities
Exchange Traded Products
Derivative Warrants
Inline Warrants
Callable Bull / Bear Contracts
Real Estate Investment Trusts
Debt Securities
Futures & Options Prices
Equity Index
Single Stock
Foreign Exchange
Interest Rate
Commodities
Statistics
Consolidated Reports
Securities Market
Derivatives Market
Participant
Clearing, Settlement and Depository
HKEXnews
View listed company announcements and more on the centralised platform for regulatory filings and disclosures
News Alerts
Sign up to receive company announcements or website updates by email
Market Data Services
Vendors can sign up to purchase wholesale market data from HKEX’s Market Data Services department
HKEX - Our Services
Rules, Forms & Fees
Forms
OTC Derivatives
Clearing
OTC Clear Operational Forms
OTC Clear Operational Forms
OTC Derivatives
Clearing
Clearing
Clearing
OTC Clear Membership Application documents
OTC Clear Operational Forms
OTC Clear Operational Forms
Updated 10 Jun 2019
Operational Setup for OTC Clear Clearing Members
Name of Document
Tentative
lead-time
1.
Information Pack the Securities and Derivatives Network/2 (SDNet/2)
For reference. Telecom services providers will typically need 4 - 8 weeks for set-up.
2.
OTC Account Services Information System (OASIS) Configuration Guide
For reference
3.
OASIS Account Maintenance Form
2 weeks
4.
Change of Company Particulars and Contact Person Form
2 weeks
5.
Change of Authorised Signatures
1 - 2 weeks
6.
Risk Limit Maintenance Form
1 - 2 weeks
7.
Intra-day Collateral Deposit / Withdrawal Request Form
For contingency use only
8.
Request Form for retrieving OASIS reports
For contingency use only
9.
Request for Change of Products Accepted for Clearing
2 weeks
10.
Request for Change of Fee Tariff Type
1 – 2 weeks
11.
Supplementary Notes on Clearing Fees Charged by OTC Clear
For reference
12.
ATRS Identifier Maintenance Form
1 – 2 weeks
13.
Change of Solo Compression Service From
1 – 2 weeks
14.
Request for the use of SFTP report download service
1 – 2 weeks
15.
Money Settlement Maintenance Form
1 – 2 weeks
16.
Use of Excess Margin Collateral to Cover Stress Loss
5 business days
17.
Request for Termination of Membership
1 – 2 weeks
Updated 16 Sep 2021
Operational Forms for Clearing Brokers and Clients
Name of Document
Executed by
1.
Client Onboarding Request Form
Clearing Broker
2.
Information of Client’s Replacement Clearing Member and Settlement Instruction
Client
3.
Request Form for porting of Contracts and Collateral amongst Client Accounts
Clearing Broker and Client
Reply Form for porting of Contracts and Collateral amongst Client Accounts
Clearing Broker
4.
Request Form for Full Portfolio Transfer
Transferee Clearing Member and Client
Reply Form for Full Portfolio Transfer (Transferor)
Transferor Clearing Member
Reply Form for Full Portfolio Transfer (Transferee)
Transferee Clearing Member
5.
Request Form for Partial Portfolio Transfer
Transferee Clearing Member and Client
Reply Form for Partial Portfolio Transfer (Transferor)
Transferor Clearing Member
Reply Form for Partial Portfolio Transfer (Transferee)
Transferee Clearing Member
6.
Security Deed (applicable only for Clearing Broker incorporated in the People’s Republic of China (excluding Hong Kong, Macao Special Administrative Region, and the Taiwan area)
)
Clearing Broker
Updated 14 Jul 2017
Operational Forms for non-cash collateral
Name of document
1.
Request form for new non-cash collateral instrument set-up
2.
Request form for the withdrawal of non-cash collateral redemption proceeds
Updated 14 Jul 2017
