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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
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
