Client Connect

HKEX Client Connect (“Client Connect”) is a unified and secured web-based platform that will give all Clients (e.g. Exchange Participants, Clearing Participants, etc) direct access to a host of HKEX services, enhancing their overall user experience. Client Connect elevates the HKEX service offering to our Clients by digitizing the majority of paper-based services, building a centralized event enrolment platform and establishing an information corner through secured web-based interface made available via PC, tablet and mobile devices.

Log on to Client Connect

(updated on 14 May 2019)

On-boarding Information:

Client Connect Delegated Administrator Rights Application / Maintenance Form

Explanatory Notes

Client Connect Business User Rights Application / Maintenance Form (For Assignment of Business User Rights to Settlement Agent only)

Client Connect Terms and Conditions

(updated on 25 Mar 2023)

OVERVIEW

The Client Connect aims to provide a single platform to unify all client access to HKEX services. Its primary objectives are:

To enhance the HKEX service offering by digitizing the majority of paper-based services
To simplify and enhance operational efficiency
To prepare for future integration with other NextGen applications

KEY FEATURES

The Client Connect provides access to Participants services through a secured web-based user interface. The key features include:

2-factor authentication (2nd password via email or mobile app)
Accessible from PC/tablet/mobile
Agile user account structure to support multiple memberships
Customized service access based on the user access right
Access to eServices which will replace current paper/fax based operations
Built-in intelligence to auto-fill and validate the eService input
Built-in workflow for maker-checker control
Email/on-screen notifications of outstanding tasks
Dashboard to show the outstanding and historical tasks with search and filter functions
Electronic enrolment for seminars and events
Centralized technical document download area

KEY BENEFITS

Access to the Service from anywhere at anytime
Single front-end with modern and secured accessibility
User-friendly dashboard to keep track of service request status
No more physical signatures and company chops
No more completion and scanning of physical forms
Full audit trail of the service request process

DETAILS OF ALL AVAILABLE eSERVICES

The list below contains all available eServices in Client Connect.

Category	Clearing House	#	Type of eService	Existing forms
Settlement and Depository	HKSCC	1	Application to HKSCC for Exemption of Buy-in	Application Form for Exemption of Buy-in
		1	Application to HKSCC for Exemption of Buy-in	Application Form for Exemption of Buy-in (China Connect Securities)
		2	Early Buy-in Request to HKSCC	Early Buy-in Request Form
		3	Request for Special Buy-In	Buy-in Reporting Slip
		3	Request for Special Buy-In	Request Letter for Exemption of Special Buy-in
		4	Buy-in Request to HKSCC for CCASS Isolated Trades only	Buy-in Request Form (for CCASS Isolated Trades only)
		4	Buy-in Request to HKSCC for CCASS Isolated Trades only	Withdrawal of Buy-in Request Form (for CCASS Isolated Trades only)
		5	Dividend Bonus Claim Submission to HKSCC	Dividend/Bonus Claim Letter
		6	Cross-border Transfer Instruction (Foreign Securities) to HKSCC	Cross-border Transfer Instruction Form: Foreign Securities - "Deliver Free of Payment" Instruction
				Cross-border Transfer Instruction Form: Foreign Securities - "Receive Free of Payment" Instruction
				Cross-border Transfer Instruction Form: Foreign Securities - Cancel "Receive Free of Payment" Instruction
		7	Transfer Instruction to HKSCC (for delisted stock)	(Written application)
		8	Authorization to HKSCC from the short clearing participant for debiting their stock entitlement account	Authorization Letter from the short clearing participant for debiting their stock entitlement account
		9	Denomination of certificate	-
		10	Corporate Communication Request to HKSCC	Corporate Communications Mailing Address Label Data File transmitted from HKSCC to share registrars
		11	Application to HKSCC for Withdrawal Fee Concession (Pre-approval)	Application for Withdrawal Fee Concession (Condition 1) - Sample Application Letters
		11		Application for Withdrawal Fee Concession (Condition 2) - Sample Application Letters
		12	Application to HKSCC for Withdrawal Fee Concession (Final approval)	Application for Withdrawal Fee Concession (Condition 1) - Sample Application Letters
		12		Application for Withdrawal Fee Concession (Condition 2) - Sample Application Letters
		13	Application to HKSCC for Scrip Fee Concession (Pre-approval)	Application for Scrip Fee Concession - Sample Application Letter from Transferee
				Application for Scrip Fee Concession - Sample Application Letter from Transferor
				Application for Scrip Fee Concession - Sample Application Letter from Client
		14	Application to HKSCC for Scrip Fee Concession (Final approval)	Application for Scrip Fee Concession - Sample Application Letter from Transferee
				Application for Scrip Fee Concession - Sample Application Letter from Transferor
				Application for Scrip Fee Concession - Sample Application Letter from Client
Participantship Management	HKSCC	15	Stock Segregated Account - Without Statement Maintenance Request to HKSCC	Stock Segregated Account Maintenance Form – Without Statement
		16	Transfer Instruction (CMU) to HKSCC	Transfer Instruction Form - Exchange Fund Notes, Government Bonds, Specified Instruments or CMU Instruments - Receive "Delivery Versus Payment" Instruction
				Transfer Instruction Form - Exchange Fund Notes, Government Bonds, Specified Instruments or CMU Instruments - Receive "Free of Payment" Instruction
				Transfer Instruction Form - Exchange Fund Notes, Government Bonds, Specified Instruments or CMU Instruments - Deliver "Delivery Versus Payment" Instruction
				Transfer Instruction Form - Exchange Fund Notes, Government Bonds, Specified Instruments or CMU Instruments - Deliver "Free of Payment" Instruction
				Transfer Instruction Cancellation Form - Exchange Fund Notes, Government Bonds, Specified Instruments or CMU Instruments - Cancel Receive "Delivery Versus Payment" Instruction
				Transfer Instruction Cancellation Form - Exchange Fund Notes, Government Bonds, Specified Instruments or CMU Instruments - Cancel Receive "Free of Payment" Instruction
		17	Stock Account Mapping Maintenance to HKSCC for the Use of Shanghai and Shenzhen Stock Connect	Stock Account Mapping Maintenance Form for the Use of Shanghai and Shenzhen Stock Connect
		18	Standing Instruction to HKSCC for Settlement of Intra-day Marks, Intra-day Margin and Intra-day Mainland Settlement Deposit by CPI	Standing Instruction for Settlement of Intra-day Marks, Intra-day Margin and Intra-day Mainland Settlement Deposit by CHATS Payment Instruction (CPI)
		19	Registration as a Clearing Participant registered to use the Clearing Link for the Clearing and Settlement of Transactions Involving China Connect Securities	Registration for the Use of Shanghai-Hong Kong Stock Connect and Shenzhen-Hong Kong Stock Connect
				Confirmation of Readiness for the Use of Shanghai-Hong Kong Stock Connect and Shenzhen-Hong Kong Stock Connect
				Undertaking for the Use of Shanghai-Hong Kong Stock Connect
				Undertaking for the Use of Shenzhen-Hong Kong Stock Connect
		20	Master SPSA ID to SPSA Mapping Maintenance Request (eService available from 17 August 2020)	Master SPSA ID to SPSA Mapping Maintenance Form
	SEHK	21	Registration as an Exchange Participant registered to use the Trading Link to trade in China Connect Securities	Registration for the Use of Shanghai-Hong Kong Stock Connect and Shenzhen-Hong Kong Stock Connect
				Confirmation of Readiness for the Use of Shanghai-Hong Kong Stock Connect and Shenzhen-Hong Kong Stock Connect
				Undertaking for the Use of Shanghai-Hong Kong Stock Connect
				Undertaking for the Use of Shenzhen-Hong Kong Stock Connect
		22	Master SPSA ID & Designated Executing Broker Mapping Maintenance Request (eService available from 17 August 2020)	Master SPSA ID and Designated Executing Broker Maintenance Form
	HKCC /SEOCH	23	DCASS Account Maintenance Request to HKCC/SEOCH	DCASS Account Maintenance Form (HKCC)
		23	DCASS Account Maintenance Request to HKCC/SEOCH	Maintenance of OBEP Individual Client Account Form
		24	Selected Currency Designation Request to HKCC/SEOCH	Selected Currency Designation Form
		25	CCMS Collateral Account Designation for Marks, Margin and Concentration Collateral Collection by SEOCH	CCMS Collateral Account Designation Form for Marks, Margin and Concentration Collateral Collection by SEOCH
		26	DCASS User Account Maintenance Request to HKCC/SEOCH	DCASS User Account Maintenance Form
		26	DCASS User Account Maintenance Request to HKCC/SEOCH	Application Form for DCASS/CCMS Terminal
	SEHK /HKSCC	27	Special Segregated Account and Designated Executing Broker Maintenance Request to HKSCC	Special Segregated Account and Designated Executing Broker Maintenance Form
	HKSCC /HKCC /SEOCH	28	Change of Company Name	Change of Company Name Form
		29	Change of Company Particulars and Contact Persons	Change of Account Information Form
		29	Change of Company Particulars and Contact Persons	Change of CCMS / DCASS Contact Persons Form
		30	Order Smartcard Reader(s)	Order Form for Smartcard Reader(s)
		31	Smartcard Maintenance for User and DA	User Profile for Delegated Administrator (DA)
				Smartcard Request Form for CCASS/CCMS User
				Report Loss of Smartcard
		32	Change of Authorised Signatories	Change of Authorised Signatories Form
		33	Update Bank Account	Additional/ Change of HKD Designated Bank Account Form
				Change of USD Designated Bank Account Form
				Change of RMB Designated Bank Account Form
				Setup of USD Designated Bank Account Form
				Setup of RMB Designated Bank Account Form
				Change of Designated/Settlement Bank Account Form
		34	Smartcard Maintenance for user (PG or Special Request)	Smartcard User Profile List
		35	Request for Retrieving DCASS/CCMS/CCASS Reports and Data Files	Report Reprint Request Form
		35		Request for Retrieving DCASS/CCMS Reports and Data Files Form
Technical setup	HKSCC	36	PG Acquisition Confirmation Reply to HKSCC	PG Acquisition Confirmation Reply and Explanatory Notes
	HKCC /SEOCH	37	Request to HKCC/SEOCH for accessing DCASS OAPI Testing Environment	Request Form for accessing DCASS OAPI Testing Environment
		38	DCASS Production / Testing Line Application and/or Change of Bandwidth Notification to HKCC/SEOCH	DCASS Central/Network Gateway/Testing Line Application and/or Change of SDNet Bandwidth Notification Form
		39	DCASS/OAPI Connectivity Test Confirmation Request to HKCC / SEOCH	DCASS Server and/or DCASS OAPI Connectivity Test Confirmation
		40	DCASS OAPI Certification Test Application/Confirmation Request to HKCC/SEOCH	DCASS OAPI Certification Test Application/Confirmation Form
		41	DCASS OAPI Program Readiness Declaration Request to HKCC/SEOCH	DCASS OAPI Program Readiness Declaration Form
	HKSCC /HKCC /SEOCH	42	CCASS/CCMS SDNet Line Service Notification	CCASS/CCMS SDNet Line Service Notification Form for HKSCC/HKCC/SEOCH Participants/HKSCC Designated Banks
Event	Common	43	Activity Enrolment	N/A
File Transmission	HKSCC	44	Submission and Download	N/A

CONTACT US:

Email: clearingps@hkex.com.hk

DISCLAIMER

HKEX and/or its subsidiaries endeavour to ensure the accuracy and reliability of the information provided, but do not guarantee its accuracy and reliability and accept no liability (whether in tort or contract or otherwise) for any loss or damage arising from any inaccuracy or omission or from any decision, action or non-action based on or in reliance upon information contained in this information sheet.

Updated 27 Mar 2023