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交收及存管
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香港结算
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1
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向香港结算递交豁免补购申请
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Application Form for Exemption of Buy-in
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Application Form for Exemption of Buy-in (China Connect Securities)
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2
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向香港结算递交提早补购要求
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Early Buy-in Request Form
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3
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递交特别补购要求
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Buy-in Reporting Slip
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Request Letter for Exemption of Special Buy-in
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4
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向香港结算提出补购要求 (只应用于中央结算系统已划分的买卖)
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Buy-in Request Form (for CCASS Isolated Trades only)
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Withdrawal of Buy-in Request Form (for CCASS Isolated Trades only)
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5
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向香港结算递交股息/红股申请
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Dividend/Bonus Claim Letter
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6
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向香港结算发出跨境转移指示
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Cross-border Transfer Instruction Form: Foreign Securities - "Deliver Free of Payment" Instruction
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Cross-border Transfer Instruction Form: Foreign Securities - "Receive Free of Payment" Instruction
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Cross-border Transfer Instruction Form: Foreign Securities - Cancel "Receive Free of Payment" Instruction
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7
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向香港结算发出转移指示（已除牌股份）
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(Written application)
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8
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短仓结算参与者的股份权益户口记除授权通知
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Authorization Letter from the short clearing participant for debiting their stock entitlement account
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9
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申请与公司行为相关的指定面额的证书
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-
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10
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向香港结算递交公司通讯要求
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Corporate Communications Mailing Address Label Data File transmitted from HKSCC to share registrars
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11
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向结算公司申请提取费用优惠 (预先批核)
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Application for Withdrawal Fee Concession (Condition 1) - Sample Application Letters
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Application for Withdrawal Fee Concession (Condition 2) - Sample Application Letters
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12
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向结算公司申请提取费用优惠 (正式批核)
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Application for Withdrawal Fee Concession (Condition 1) - Sample Application Letters
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Application for Withdrawal Fee Concession (Condition 2) - Sample Application Letters
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13
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向结算公司申请登记过户费优惠(预先批核)
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Application for Scrip Fee Concession - Sample Application Letter from Transferee
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Application for Scrip Fee Concession - Sample Application Letter from Transferor
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Application for Scrip Fee Concession - Sample Application Letter from Client
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14
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向结算公司申请登记过户费优惠(正式批核)
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Application for Scrip Fee Concession - Sample Application Letter from Transferee
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Application for Scrip Fee Concession - Sample Application Letter from Transferor
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Application for Scrip Fee Concession - Sample Application Letter from Client
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参与者户口/会员管理
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香港结算
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15
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要求香港结算处理不附结单服务的股份独立户口
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Stock Segregated Account Maintenance Form – Without Statement
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16
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向香港结算发出转移指示（债务工具中央结算系统）
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Transfer Instruction Form - Exchange Fund Notes, Government Bonds, Specified Instruments or CMU Instruments - Receive "Delivery Versus Payment" Instruction
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Transfer Instruction Form - Exchange Fund Notes, Government Bonds, Specified Instruments or CMU Instruments - Receive "Free of Payment" Instruction
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Transfer Instruction Form - Exchange Fund Notes, Government Bonds, Specified Instruments or CMU Instruments - Deliver "Delivery Versus Payment" Instruction
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Transfer Instruction Form - Exchange Fund Notes, Government Bonds, Specified Instruments or CMU Instruments - Deliver "Free of Payment" Instruction
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Transfer Instruction Cancellation Form - Exchange Fund Notes, Government Bonds, Specified Instruments or CMU Instruments - Cancel Receive "Delivery Versus Payment" Instruction
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Transfer Instruction Cancellation Form - Exchange Fund Notes, Government Bonds, Specified Instruments or CMU Instruments - Cancel Receive "Free of Payment" Instruction
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17
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要求香港结算进行股票户口配对以使用沪港通及深港通
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Stock Account Mapping Maintenance Form for the Use of Shanghai and Shenzhen Stock Connect
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18
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给香港结算的常设指示 — 透过「票据交换所自动转账系统付款指示」结算即日差额、即日额外按金及即日内地结算备付金
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Standing Instruction for Settlement of Intra-day Marks, Intra-day Margin and Intra-day Mainland Settlement Deposit by CHATS Payment Instruction (CPI)
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19
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CCCP申请以使用沪港通及深港通
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Registration for the Use of Shanghai-Hong Kong Stock Connect and Shenzhen-Hong Kong Stock Connect
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Confirmation of Readiness for the Use of Shanghai-Hong Kong Stock Connect and Shenzhen-Hong Kong Stock Connect
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Undertaking for the Use of Shanghai-Hong Kong Stock Connect
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Undertaking for the Use of Shenzhen-Hong Kong Stock Connect
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联交所
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20
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CCEP申请以使用沪港通及深港通
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Registration for the Use of Shanghai-Hong Kong Stock Connect and Shenzhen-Hong Kong Stock Connect
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Confirmation of Readiness for the Use of Shanghai-Hong Kong Stock Connect and Shenzhen-Hong Kong Stock Connect
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Undertaking for the Use of Shanghai-Hong Kong Stock Connect
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Undertaking for the Use of Shenzhen-Hong Kong Stock Connect
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期货结算公司/期权结算所
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21
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提交DCASS户口维护设定申请予期货结算公司 / 期权结算所
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DCASS Account Maintenance Form (HKCC)
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Maintenance of OBEP Individual Client Account Form
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22
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期货结算公司/期权结算所选定指定货币以收取按金
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Selected Currency Designation Form
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23
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指定期权结算所的CCMS抵押品户口收取差额、按金及集中抵押品请求
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CCMS Collateral Account Designation Form for Marks, Margin and Concentration Collateral Collection by SEOCH
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24
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提交DCASS用户设定申请予期货结算公司/期权结算所
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DCASS User Account Maintenance Form
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Application Form for DCASS/CCMS Terminal
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联交所/
香港结算
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25
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要求香港结算处理特别独立户口及其指定执行经纪维护
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Special Segregated Account and Designated Executing Broker Maintenance Form
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香港结算
/期货结算公司/期权结算所
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26
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更改公司名称
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Change of Company Name Form
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27
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更改公司资料及联络人
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Change of Account Information Form
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Change of CCMS / DCASS Contact Persons Form
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28
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管理人仕及认可使用者智能卡维护
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User Profile for Delegated Administrator (DA)
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Smartcard Request Form for CCASS/CCMS User
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Report Loss of Smartcard
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29
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订取智能卡读取器
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Order Form for Smartcard Reader(s)
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30
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更改获授权签署人士
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Change of Authorised Signatories Form
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31
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更新银行账户
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Additional/ Change of HKD Designated Bank Account Form
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Change of USD Designated Bank Account Form
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Change of RMB Designated Bank Account Form
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Setup of USD Designated Bank Account Form
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Setup of RMB Designated Bank Account Form
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Change of Designated/Settlement Bank Account Form
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32
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认可使用者智能卡维护（PG或特别要求）
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Smartcard User Profile List
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33
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要求重印CCASS/CCMS/DCASS报告及数据文档
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Report Reprint Request Form
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Request for Retrieving DCASS/CCMS Reports and Data Files Form
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技术设置
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香港结算
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34
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向香港结算确认购买PG及有关解说文件
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PG Acquisition Confirmation Reply and Explanatory Notes
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期货结算公司/期权结算所
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35
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提交申请登入DCASS OAPI 测试环境予期货结算公司/期权结算所
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Request Form for accessing DCASS OAPI Testing Environment
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36
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提交DCASS生产/测试线路申请及/或变更频宽通知予期货结算公司/期权结算所
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DCASS Central/Network Gateway/Testing Line Application and/or Change of SDNet Bandwidth Notification Form
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37
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提交DCASS/OAPI 连接测试确认请求予期货结算公司/期权结算所
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DCASS Server and/or DCASS OAPI Connectivity Test Confirmation
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38
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提交DCASS OAPI认证测试申请/确认要求予期货结算公司/期权结算所
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DCASS OAPI Certification Test Application/Confirmation Form
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39
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提交DCASS OAPI计划程式准备就绪声明要求予期货结算公司/期权结算所
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DCASS OAPI Program Readiness Declaration Form
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香港结算
/期货结算公司/期权结算所
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40
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CCASS/CCMS SDNet 线路服务通知
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CCASS/CCMS SDNet Line Service Notification Form for HKSCC/HKCC/SEOCH Participants/HKSCC Designated Banks
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活动
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共同
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41
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活动登记
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N/A
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文件传送
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香港结算
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42
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提交与下载
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N/A
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