|
|
Table of Contents |
| |
| Section 1 Introduction |
|
| |
|
| 1.1 CCASS Services Available to Investor Participants |
|
| |
|
| 1.2 Communicating with CCASS |
|
| 1.2.1 CCASS Phone System |
|
| 1.2.2 CCASS Internet System |
|
| 1.2.3 Customer Service Centre |
|
| 1.2.4 Depository Service Counters |
|
| |
|
| 1.3 Services Available from CCASS Phone System |
|
| 1.3.1 CCASS Phone Operations Hotline |
|
| 1.3.2 Investor Service Enquiry Hotline |
|
| |
|
| 1.4 Services Available from CCASS Internet System |
|
| |
|
| Section 2 Logon Procedure and Access Control |
|
| |
|
| 2.1 Logon and Change Password Procedures |
|
| 2.1.1 CCASS Phone System |
|
| 2.1.2 CCASS Internet System |
|
| |
|
| 2.2 Access Control |
|
| 2.2.1 ISI (Without Affirmation) Counterparty List |
| 2.2.2 ISI (With Affirmation) Counterparty List for Corporate Investor Participants |
| 2.2.3 Maker-Checker Facility and Transaction Limit for ISI |
|
| 2.2.4 User Access Level Code |
|
| 2.2.5 e-Cert Maintenance |
|
| 2.2.6 Internet User ID Maintenance |
|
| |
| Section 3 Investor Account Services |
|
| |
|
| 3.1 Investor Settlement Instruction |
|
| 3.1.1 ISI Affirmation |
| 3.1.2 Input ISI (Without Affirmation) |
| 3.1.3 Money Settlement for ISIs |
|
| 3.1.4 Purpose of ISIs |
|
| 3.1.5 Conditions for Fee Concession |
|
| 3.1.6 Status of ISIs |
|
| |
|
| 3.2 Nominee Services |
|
| 3.2.1 Subscription, such as Rights Issues, Takeover, Warrants Subscription, Open Offer or Bond Conversion |
|
| 3.2.2 Dividend Election |
|
| 3.2.3 Voting |
|
| |
|
| 3.3 Tender Instruction |
|
| 3.3.1 Repealed |
|
| 3.3.2 Tendering |
|
| 3.3.2.1 Tender Processing Schedule |
|
| |
|
| 3.4 Other Services |
|
| 3.4.1 Notice Board |
|
| 3.4.2 Forms Download |
|
| 3.4.3 Contact Us |
|
| |
|
| 3.5 Depository Services |
|
| 3.5.1 Stock Deposit |
|
| 3.5.1.1 Share Certificates Acceptable for Deposit |
|
| 3.5.1.2 Stock Deposit Procedure |
|
| 3.5.2 Stock Withdrawal |
|
| 3.5.2.1 Stock Withdrawal Procedure |
|
| 3.5.2.2 Available Time for Collection |
|
| 3.5.3 Transfer service for Multi-counter Eligible Securities |
|
| |
|
| 3.6 Online Enquiries and Statements |
|
| 3.6.1 Online Enquiries |
|
| 3.6.1.1 CCASS Phone Operations Hotline |
|
| 3.6.1.2 CCASS Internet System |
|
| 3.6.2 Statements |
|
| 3.6.2.1 Activity Statement |
|
| 3.6.2.2 Monthly Statement |
|
| 3.6.2.3 Statement Re-print Procedure |
|
| |
|
| 3.7 Account Maintenance |
|
| 3.7.1 Change Account Information Procedure |
|
| 3.7.2 Reset Password Procedure |
|
| 3.7.3 Close Account Procedure |
|
| 3.7.4 Change of User Profile Procedure |
|
| 3.7.5 Reactivate Suppressed Account Procedure |
|
| |
|
| 3.8 Claiming Unclaimed Benefits |
|
| 3.8.1 Claim Unclaimed Benefits Procedure |
|
| |
|
| Section 4 Others |
|
| |
|
| 4.1 Corporate Communications |
|
| |
|
| 4.2 Short Message Services (SMS) |
| |
| 4.3 Service Arrangements during Typhoons and Black Rainstorm Warnings |
|
| 4.3.1 Depository, Settlement and Centre Services during Typhoons |
|
| 4.3.2 Nominee Services during Typhoons |
|
| 4.3.3 Depository, Settlement and Centre Services during Black Rainstorm Warnings |
|
| 4.3.4 Nominee Services during Black Rainstorm Warnings |
|
|
| 4.4 Disclosure of Shareholding Information |
|
| Section 5 General Notes |
|
|
|
| Section 6 Fast Track List for CCASS Phone System |
|
| Section 7 Forms |
|
| 7.1 Forms for All Investor Participants |
| 7.1.1 Change of Account Information Form |
| 7.1.2 Request Form For Resetting a Password |
| 7.1.3 Investor Participant Statement Re-print Request Form |
| 7.1.4 Reactivate a Suppressed/Delinquent Investor Account Request Form |
| 7.1.5 Investor Participant Close Account Notice |
|
| 7.1.6 e-Certificate / Internet User ID Maintenance Form |
|
| 7.1.7 Shareholding Disclosure - Investor Participant Consent Form |
| 7.1.8 Designated Bank Account Change Form |
| 7.1.9 Setting Up of USD Designated Bank Account Form |
| 7.1.10 Change of USD Designated Bank Account Form |
| 7.1.11 Setting Up of RMB Designated Bank Account Form |
| 7.1.12 Change of RMB Designated Bank Account Form |
| 7.1.13 Repealed |
|
| 7.1.14 Individual Investor Participant Change of Authorised Signatories Form |
| 7.1.15 Individual Investor Participant Account Name Change Form
|
|
|
| 7.2 Forms for Individual and Joint Investor Participants Only |
| 7.2.1 Investor Participant Self-Certification Form |
| 7.2.2 Request from Administrator(s)_Executor(s) for Release of Stocks and Cash Balance Form |
| 7.2.3 Request from Administrator(s)_Executor(s) for Closure of Account without Stock Balance |
|
7.2.4 Request from Surviving Joint Holder(s) for Release of Stocks and Cash Balance Form
|
|
|
| 7.3 Forms for Corporate Investor Participants Only |
| 7.3.1 Corporate Investor Participant Self-Certification Form |
| 7.3.2 ISI (With Affirmation) Counterparty List Input Request Form |
| 7.3.3 User Profile List |
| 7.3.4 Corporate Investor Participant Change of Authorised Signatories Form |
| 7.3.5 Corporate Investor Participant Account Name Change Form |
| 7.3.6 Form W-8BEN-E, Certificate of Status of Beneficial Owner for United States Tax Withholding and Reporting (Entities) |
| 7.3.7 Instructions for Form W-8BEN-E (For reference) |
|
|
| 7.4 Forms for Instruction Input at Customer Service Centre |
| 7.4.1 ISI Input/Affirmation Request Form |
| 7.4.2 Subscription Instruction Input Request Form |
| 7.4.3 Dividend Election Instruction Input Request Form |
| 7.4.4 Corporate Voting Instruction Input Request Form |
| 7.4.5 Withdrawal Order Input Request Form |
| 7.4.6 Repealed |
| 7.4.7 Repealed |
| 7.4.8 EFN, Government Bonds, Specified Instruments and/or CMU Instruments Tender Instruction Input Request Form |
|
7.4.9 ISI (Without Affirmation) Counterparty List Input Request Form |
| 7.4.10 Standing Instruction Input Request Form |
| 7.4.11 Multi-counter Transfer Instruction Input Request Form |
|
| Appendix A Abbreviations Used in Statement |
| |