Market Turnover


Operating Guide for Investor Participants

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3.3.1 Repealed  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 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 Share Certificates Acceptable for Deposit Stock Deposit Procedure  
3.5.2 Stock Withdrawal Stock Withdrawal Procedure 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 CCASS Phone Operations Hotline CCASS Internet System  
3.6.2 Statements Activity Statement Monthly Statement 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

Updated 05 Feb 2024