mobile search

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.

Fees tabs_sHK Fees ssc_grey
Fees ld_grey
Fees otcd_grey

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 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 22 Sep 2017

Settlement Operations

Forms / eServices Form # / eService ID Reference Submission Channels*
Email Fax Client Connect
CCASS-Form 1
       
CCASS-Form 2
       
CCASS-Form 3
       
CCASS-Form 4
       
CCASS-Form 5
       
CCASS-Form 5
       
CCASS-Form 5
       
CCASS-Form 5
       
CCASS-Form 5
       
CCASS-Form 5
       
CCASS-Form 6
       
CCASS-Form 7
 
yes
yes
 
Cash Prepayment - Intra-bank Transfer Sample  CCASS-Form 8
yes
yes
 
Cash Prepayment - CHATS Payment Instruction Sample CCASS-Form 9
yes
yes
 
Application to HKSCC for Exemption of Buy-in Set 1       yes
Early Buy-in Request to HKSCC
Set 2       yes

Request for Special Buy-In

Set 3       yes
Buy-in Request to HKSCC for CCASS Isolated Trades only Set 4       yes
Authorization to HKSCC from the short clearing participant for debiting their stock entitlement account
Set 5



yes

Updated 02 Jan 2020

Depository Services

Forms / eServices Form # / eService ID Reference Submission Channels*
Email Fax Client Connect 
Stock Collection Authorization Form CCASS-Form 12        
CCASS-Form 13        
CCASS-Form 14
       
CCASS-Form 15
       
CCASS-Form 16
       
CCASS-Form 17
       
Application to HKSCC for Scrip Fee Concession (Pre-approval) Dep 2A       yes
Application to HKSCC for Scrip Fee Concession (Final approval) Dep 2B       yes
Transfer Instruction (CMU) to HKSCC Dep 3       yes
CCASS-Form 24
       

Cross-border Transfer Instruction (Foreign Securities) to HKSCC

Dep 5       yes
Creation of Units - Credit Authorization Form
(Cash Application)
CCASS-Form 28



 
Creation of Units (In Kind Creation) - Debit and Credit Authorization Form CCASS-Form 29



 
Redemption of Units - Debit and Credit Authorization Form CCASS-Form 30



 
Application for Withdrawal Fee Concession (Scenario 1)
- Sample Application Letters
CCASS-Form 31


 
Application for Withdrawal Fee Concession (Scenario 2)
- Sample Application Letters
CCASS-Form 32


 
Application for Withdrawal Fee Concession (Scenario 3)
- Sample Application Letters
CCASS-Form 96        
^ For reference only. Participants please obtain the original forms from Depository Counter.
 
Forms Form # Reference Additional submission Channels*
Email Fax

Updated 06 Jan 2020

Nominee Services

Forms / eServices Form # / eService ID Reference Submission Channels*
Email Fax Client Connect 
Voting Request Form CCASS-Form 36


 
Corporate Representative/ Proxy Request Form  CCASS-Form 37


 
Foreign Currency Dividend Entitlement Instruction Form  CCASS-Form 38


 
Cash/ Scrip Dividend Election Form CCASS-Form 39


 
Subscription of Open Offer Form CCASS-Form 40


 
Takeover Offer Acceptance/Election Form CCASS-Form 41


 
Rights Issues Subscription Request Form CCASS-Form 42


 
Warrant Conversion Request Form CCASS-Form 43


 
Dividend Bonus Claim Submission to HKSCC Nom 1              Letter of Indemnity

yes 
Denomination of certificate Nom 2       yes 
Corporate Communication Request to HKSCC Nom 3       yes 
Debt Securities Conversion Request Form CCASS-Form 45


 
Debt Securities Redemption Acceptance Form CCASS-Form 46


 
Declaration and Letter of Indemnity in respect of Issuance of Replacement Transfer Deed  CCASS-Form 47


 

Updated 03 Jan 2020

Technical

Forms / eServices Form # / eService ID Reference Submission Channels*
Email Fax Client Connect
Request for Back-up Facilities Form CCASS-Form 72


 
Sharing of CCASS3/CCMS Terminal to Access CCASS/CCMS G-Form 10


 
CCASS/CCMS SDNet Line Service Notification G-Form 7 / TechS 6              yes yes  yes
PG Acquisition Documents          

Updated 02 Jan 2020

Loading