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Client Connect

一代交易后平台项目(NextGen)不仅将我们的平台进一步现代化,还有助香港交易所作好准备、巩固竞争优势,应对瞬息万变的经营、技术和监管环境。香港交易所尤其注重的,是要确保旗下平台有效地满足市场参与者和投资者现时以至日后的需要。推出 Client Connect 首个阶段的主要成果。

 

登入Client Connect

 

(于 2019 年 5月 14日更新)

 

成为Client Connect用户资料

Client Connect 管理人士权限申请/维护表格

说明文件

Client Connect 营运人士权限申请/维护表格(只适用于委派营运人士权限予交收代理)

Client Connect条款及细则

(于 2019 年 11月 21日更新)

 

Client Connect 旨为所有客户提供一个一站式服务的平台,其主要目的包括:

  • 大部分以手工服务数码化,以提升香港交易所的服务质
  • 化和提升运作效
  • 未来与其他NextGen应用程式一体化做好准

 

主要特

Client Connect 透过安全的网络用户界面为参与者提供服务。其主要特点包括:

  • 重认证 (第二重密码会由电子邮件或手机程式发出)
  • 可以透过电脑/平板电脑/手机使
  • 能透过单一户口同时支援多个参与者/会员
  • 据用户使用权限预设服务
  • 使用电子服务来取代现时纸张或传真形式的运
  • 预置智能程序可自动输入和可即时验证客户所输入的资
  • 预置输入者与核对者的工作流程设计
  • 透过电子邮件或线上通知客户所需完成的
  • 搜索和过滤功能在个人首页中寻找未完成及已完成的工作
  • 研讨会活动报名电子化
  • 技术文件中央下载区

 

主要优点

  • 可随时随地使用服
  • 具现代化及安全性的一体系操作
  • 简易的个人首页让客户快速追踪服务请求的状
  • 无需任何实体签署及公司印
  • 无需任何实件填充及扫描
  • 为服务请求的处理过程能提供完整的审计跟踪

 

时间表

Client Connect 的第二阶段经已在2019年12月2日推出,以下列表中的电子服务已可于Client Connect使用。

 

电子服务的服务范围

首批电子服务将会于交收及存管、参与者/会员管理、技术设置及活动报名等范畴提供大约45项服务。部分现有手工表格将合并至同一电子服务内,以达至能一次过递交多个指示或申请

Capture (chin) 1 

可使用的电子服务详情

以下列表中的电子服务已可于Client Connect使用。

类别

结算所

#

电子服务名称

现有表格

交收及存管

香港结算

1

向香港结算递交豁免补购申请

Application Form for Exemption of Buy-in

Application Form for Exemption of Buy-in (China Connect Securities)

2

向香港结算递交提早补购要求

Early Buy-in Request Form

3

递交特别补购要求

Buy-in Reporting Slip

Request Letter for Exemption of Special Buy-in

4

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)

Buy-in Request Form (for CCASS Isolated Trades only)

Withdrawal of Buy-in Request Form (for CCASS Isolated Trades only)

5

向香港结算递交股息/红股申请

Dividend/Bonus Claim Letter

6

向香港结算发出跨境转移指示

 

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

向香港结算发出转移指示(已除牌股份)

(Written application)

8

短仓结算参与者的股份权益户口记除授权通知

 

Authorization Letter from the short clearing participant for debiting their stock entitlement account

9

申请与公司行为相关的指定面额的证书

-

10

向香港结算递交公司通讯要求

Corporate Communications Mailing Address Label Data File transmitted from HKSCC to share registrars

11

向结算公司申请提取费用优惠 (预先批核)

Application for Withdrawal Fee Concession (Condition 1) - Sample Application Letters

Application for Withdrawal Fee Concession (Condition 2) - Sample Application Letters

12

向结算公司申请提取费用优惠 (正式批核)

Application for Withdrawal Fee Concession (Condition 1) - Sample Application Letters

Application for Withdrawal Fee Concession (Condition 2) - Sample Application Letters

13

向结算公司申请登记过户费优惠(预先批核)

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

向结算公司申请登记过户费优惠(正式批核)

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

参与者户口/会员管理

香港结算

15

要求香港结算处理不附结单服务的股份独立户口

Stock Segregated Account Maintenance Form – Without Statement

16

向香港结算发出转移指示(债务工具中央结算系统)

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

要求香港结算进行股票户口配对以使用沪港通及深港通

 

Stock Account Mapping Maintenance Form for the Use of Shanghai and Shenzhen Stock Connect

18

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

 

Standing Instruction for Settlement of Intra-day Marks, Intra-day Margin and Intra-day Mainland Settlement Deposit by CHATS Payment Instruction (CPI)

19

CCCP申请以使用沪港通及深港通

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

联交所

20

CCEP申请以使用沪港通及深港通

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

期货结算公司/期权结算所

21

提交DCASS户口维护设定申请予期货结算公司 / 期权结算所

DCASS Account Maintenance Form (HKCC)

Maintenance of OBEP Individual Client Account Form

22

期货结算公司/期权结算所选定指定货币以收取按金

Selected Currency Designation Form

23

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

CCMS Collateral Account Designation Form for Marks, Margin and Concentration Collateral Collection by SEOCH

24

DCASS用户设定申请予期货结算公司/期权结算所

DCASS User Account Maintenance Form

Application Form for DCASS/CCMS Terminal

联交所/

香港结算

25

要求香港结算处理特别独立户口及其指定执行经纪维护

Special Segregated Account and Designated Executing Broker Maintenance Form

香港结算

/期货结算公司/期权结算所

26

更改公司名称

Change of Company Name Form

27

更改公司资料及联络人

 

Change of Account Information Form

Change of CCMS / DCASS Contact Persons Form

28

管理人仕及认可使用者智能卡维护

User Profile for Delegated Administrator (DA)

Smartcard Request Form for CCASS/CCMS User

Report Loss of Smartcard

29

订取智能卡读取器

Order Form for Smartcard Reader(s)

30

更改获授权签署人士

Change of Authorised Signatories Form

31

更新银行账户

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

32

认可使用者智能卡维护(PG或特别要求)

Smartcard User Profile List

33

要求重印CCASS/CCMS/DCASS报告及数据文档

Report Reprint Request Form

Request for Retrieving DCASS/CCMS Reports and Data Files Form

技术设置

香港结算

34

向香港结算确认购买PG及有关解说文件

 

PG Acquisition Confirmation Reply and Explanatory Notes

期货结算公司/期权结算所

35

提交申请登入DCASS OAPI 测试环境予期货结算公司/期权结算所

Request Form for accessing DCASS OAPI Testing Environment

36

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

DCASS Central/Network Gateway/Testing Line Application and/or Change of SDNet Bandwidth Notification Form

37

提交DCASS/OAPI 连接测试确认请求予期货结算公司/期权结算所

DCASS Server and/or DCASS OAPI Connectivity Test Confirmation

38

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

DCASS OAPI Certification Test Application/Confirmation Form

39

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

DCASS OAPI Program Readiness Declaration Form

香港结算

/期货结算公司/期权结算所

40

CCASS/CCMS SDNet 线路服务通知

CCASS/CCMS SDNet Line Service Notification Form for HKSCC/HKCC/SEOCH Participants/HKSCC Designated Banks

活动

共同

41

活动登记

N/A

文件传送

香港结算

42

提交与下载

N/A

 

 

联络我们 :

电邮: ClientConnect@hkex.com.hk

 

免责声

港交易所及/或其附属公司竭力确保其提供之资料准确可靠,但不保证该等资料绝对正确可靠;对于任何因资料不确或遗漏又或因根据或倚赖本网站资料所作决定、行动或不行动而引致之损失或损害,香港交易所及/或其附属公司概不负责(不论是民事侵权行为责任或合约责任或其他)。


更新日期 2019年12月5日

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