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Participantship/Membership

Apart from Onboarding related forms, all forms will be migrated to Client Connect starting from January 2020 tentatively. Participants are reminded to sign-up for Client Connect by submitting the completed the CCDA Form as soon as possible.

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Updated 28 Feb 2018

Clearing Participantship application process update – With effect from 2 January 2018, an applicant applying for Clearing Participantship of HKSCC 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 HKSCC unless a Participant / Designated Bank notifies HKSCC 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 HKSCC 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 CCASS Hotline at 2979-7111 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


 
Direct Clearing Participant Agreement nil  

 
nil 
       
Certificate of Status of Beneficial Owner of United States Tax Withholding and Reporting (Entities) W-8BEN-E Instructions for Form
W-8BEN-E
 
Operational Setup Forms - Company Particulars Form for New CCASS Participants CCASS-Form 75


 
Operational Setup Forms - Non-Investor Participant HKD Debit Authorisations and Authorisation to Disclose Information Form CCASS-Form 76 List of Designated Banks for CCASS Non-Investor Participants  

 
Operational Setup Forms - Application for Installation of CCASS Terminal(s)  CCASS-Form 77 CCASS/3 Terminal Installation Procedure

CCASS Terminal Requirements

Information related to SDNet/2


 
Operational Setup Forms - CCASS/CCMS SDNet Line Service Notification Form G-Form 7

 yes
Operational Setup Forms - Smartcard Request Form for New CCASS Participant CCASS-Form 78

 
Operational Setup Forms - User Profile for Delegated Administrator for New Participant CCASS-Form 79 Guidance Notes

Administration Right Listing

User Access Level Assignment


 
Operational Setup Forms - Stock Segregated Account Maintenance Form for New Participant CCASS-Form 80 Guidance Note

 
Operational Setup Forms - List of Authorised Signatories with Specimen Signatures G-Form 9

 
Operational Setup Forms - Authorisation to HKSCC on Causing Endorsements to be made on Instruments of Transfer as Selling Broker's Agent CCASS-Form 81 Explanatory Notes

Appendix I

Appendix II

Appendix III


 

Updated 15 May 2019

Participant/Member Account Maintenance

Forms Form # Reference Additional submission Channels*
Email Fax Client Connect
Order Form for Smartcard Reader(s)
G-Form 1
       yes
G-Form 2 
       yes
G-Form 3 
       yes
G-Form 4 
       yes
G-Form 5
       yes
G-Form 6
       
CCASS-Form 48 
  yes  yes   yes
CCASS-Form 49
       
CCASS-Form 50 
       
CCASS-Form 51 
       
CCASS-Form 52
       
CCASS-Form 53 
       
CCASS-Form 54
 
yes
yes
 
CCASS-Form 55 
  yes yes  yes
Request for Maintenance of Day-End Standing Instruction on Redelivery of Surplus Cash CCASS-Form 56
yes yes  
CCASS-Form 57         
nil
       
CCASS-Form 82        
Termination of Participantship - Payment Authorisation for Refund of SI and Stock Withdrawal Fees - Attachment 1B CCASS-Form 83        
Termination of Participantship - Certified True Extract of Minutes of the Board of Directors – attachment 1C CCASS-Form 84        
Termination of Participantship - Application Form for Scrip Fee Concession due to Business Restructuring – attachment 2A CCASS-Form 85 Notes and Procedures

 
Termination of Participantship - Confirmation of Shareholdings – attachment 2B CCASS-Form 86        
CCASS-Form 87        
CCASS-Form 88        
G-Form 7
       yes
G-Form 10
       
CCASS-Form 48
       yes
G-Form 6
       
Forms Form # Reference Additional submission Channels*
Email Fax

Participantship - Others

Updated 12 Oct 2018

Notification

Updated 18 Oct 2019

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