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Updated 18 Oct 2019

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 su bmission 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

Certificate of Status of Beneficial Owner of United States Tax Withholding and Reporting (Entities) W-8BEN-E Instructions for Form
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

Operational Setup Forms - Smartcard Request Form for New CCASS Participants CCASS-Form 78

Operational Setup Forms - User Profile for Delegated Administrator for New Participants 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

Forms Form # Reference Additional submission Channels*
Email Fax

Updated 15 May 2019

Participant/Member Account Maintenance

Forms Form # Reference Additional submission Channels*
Email Fax Client Connect
G-Form 1
G-Form 2 
G-Form 3
G-Form 4 
G-Form 5 
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  

Stock Lending Account Opening Form

Notification of Opening of a Stock Lending Account in CCASS by Lender

 CCASS-Form 57        
CCASS-Form 82
CCASS-Form 83
CCASS-Form 84
Termination of Participantship - Application Form for Scrip Fee Concession due to Business Restructuring – Attachment 2A   CCASS-Form 85 Notes and Procedures

CCASS-Form 86
CCASS-Form 87
CCASS-Form 88
G-Form 7
G-Form 10
CCASS-Form 48
G-Form 6

Updated 15 May 2019

Participantship - Others

Updated 12 Oct 2018


Updated 18 Oct 2019