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Operational Setup for SEOCH Participants

List of documents required to be completed for fulfilling the operational requirements of SEOCH

Types / Name of Documents Lead-time required Form  Reference No.
1. Bank Mandates respectively for House and Client Accounts      3 - 4 weeks
1.1      Bank of China (Hong Kong) Ltd. - House
Bank of China (Hong Kong) Ltd. - Client
1.2 Chong Hing Bank Ltd. - House
Chong Hing Bank Ltd. - Client
1.3 Citibank N.A. - House
Citibank N.A. - Client
1.4 Hang Seng Bank Ltd. - House
Hang Seng Bank Ltd. - Client
1.5 Standard Chartered Bank (Hong Kong) Ltd. - House
Standard Chartered Bank (Hong Kong) Ltd. - Client
1.6 The Bank of East Asia, Ltd. - House
The Bank of East Asia, Ltd. - Client
1.7 The Hongkong and Shanghai Banking Corporation Ltd. - House
The Hongkong and Shanghai Banking Corporation Ltd. - Client
1.8 OCBC Wing Hang Bank Ltd. - House
OCBC Wing Hang Bank Ltd. - Client
1.9 CMB Wing Lung Bank Ltd. - House
CMB Wing Lung Bank Ltd. - Client
2. Facsimile Indemnity      1 - 2 weeks
3. Mandate Authorising SEOCH to transfer collateral and settlement amount to Hong Kong Securities Clearing Company Limited 1 - 2 weeks
3.1 - for CCASS Participant
3.2 - for CCASS NCP
4 Deed of Charge 1 - 2 weeks
4.1 - for CCASS Participant          
4.2 - for CCASS NCP          
5. DCASS Subscription and Licence Agreement 1 - 2 weeks
6. CCASS / CCMS SDNet Line Service Notification Form 6 weeks G-Form 7
7.  DCASS User Account Maintenance Form 6 weeks  DCASS-Form 2
7.1 DCASS Online/DCASS OAPI Connectivity Test Confirmation Form  Not Applicable DCASS-Form 7
8. DCASS Production/Testing Line Application and/or Change of SDNet Bandwidth Notification Form 6 weeks DCASS-Form 8
9. Change of CCMS / DCASS Contact Persons Form 1 - 2 weeks DCASS-Form 3
10. List of Authorised Signatures with Specimen Signatures and Board Resolution (Sample) 2 - 6 weeks SEOCH-Form 12
11. Sharing of CCASS3 / CCMS Terminal to Access CCASS / CCMS 1 - 2 weeks G-Form 10
12. Documents for setting up Authorised Users     
12.1 Smartcard Request Form for New Participant 1 - 2 weeks G-Form 14
12.2 User Profile for Delegated Administrator for New Participant 1 - 2 weeks G-Form 13
12.3 Guidance Notes on Setting Up CCASS / CCMS User Profile (for New Participant) For reference
12.4 Administration Right Listing For reference
12.5 User Access Level Assignment For reference
13.  Application Form for SFTP User IDs for Report Retrieval Solution For Listed Derivatives Market  1 - 2 weeks  DCASS-Form 15
13.1

Report Retrieval Solution For Listed Derivatives Markets Technical Guide

Sample Zip File

For reference
14.  Client Connect Delegated Administrator Rights Application / Maintenance Form 1 - 2 weeks G-Form 11
14.1  Explanatory Notes on Client Connect Delegated Administrator  (CCDA) Functions
For reference  
15 FATCA Documentation
 
15.1 Form W-8BEN-E - Certificate of Status of Beneficial Owner for United States Tax Withholding and Reporting (Entities) or any relevant form as applicable 1 - 2 weeks
15.2 Instructions for Form W-8BEN-E  For reference