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Operations & Technical

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Updated 24 Oct 2017

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 Form # Reference Additional 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
 
CCASS-Form 10



 
CCASS-Form 58

yes
yes
 yes
CCASS-Form 59

yes yes  yes
CCASS-Form 60

yes yes  yes
CCASS-Form 61

yes yes  yes
Withdrawal of Buy-in Request Form (for CCASS Isolated Trades only) CCASS-Form 62

yes yes  yes
Request Letter for Exemption of Special Buy-In CCASS-Form 63

yes yes  yes

Updated 26 Jun 2019

Depository Services

Forms Form # Reference Additional 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
       
CCASS-Form 18
       
CCASS-Form 19
       
CCASS-Form 20
       
CCASS-Form 21        
CCASS-Form 22        
CCASS-Form 23
       
CCASS-Form 24
       
CCASS-Form 25
       
CCASS-Form 26
       
CCASS-Form 27
       
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 (Condition 1)
- Sample Application Letters
CCASS-Form 31


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


 
Application for Scrip Fee Concession - Sample Application Letter from Transferee CCASS-Form 33 Criteria for Scrip fee Concession

 
Application for Scrip Fee Concession - Sample Application Letter from Transferor CCASS-Form 34 Criteria for Scrip fee Concession


 
Application for Scrip Fee Concession - Sample Application Letter from Client CCASS-Form 35 Criteria for Scrip fee Concession


 
^ For reference only. Participants please obtain the original forms from Depository Counter.
 
Forms Form # Reference Additional submission Channels*
Email Fax

Updated 15 May 2019

Nominee Services

Updated 15 May 2019

Technical

Forms Form # Reference Additional 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 Form for HKSCC/HKCC/SEOCH Participants/HKSCC Designated Banks G-Form 7 yes yes  yes
PG Acquisition Documents          

Updated 15 May 2019

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