Table of Contents
Amendment Log
Section 1 Introduction (Updated as of January 2023)
Section 2 Client Connect Overview (Updated as of January 2023)
Section 3 Getting Started for Client Connect
3.1 User authentication and access right management are performed in the HKEX Access Management Portal. For the details, please refer to
Access Management User Guide (Updated as of January 2023)
3.2 Screen Standards (Updated as of January 2023)
Section 4 eService Functions
4.1 Settlement and Depository
HKSCC
Set 1 Application to HKSCC for Exemption of Buy-in (updated as of April 2019)
Set 2 Early Buy-in Request to HKSCC (updated as of April 2019)
Set 3 Request for Special Buy-In (updated as of April 2019)
Set 4 Buy-in Request to HKSCC for CCASS Isolated Trades only (updated as of April 2019)
Set 5 Authorization to HKSCC from the short clearing participant for debiting their stock entitlement account (updated as of December 2019)
Nom 1 Dividend Bonus Claim Submission to HKSCC (updated as of August 2019)
Nom 2 Denomination of certificate (updated as of December 2019)
Nom 3 Corporate Communication Request to HKSCC (updated as of December 2019)
Dep 1A Application to HKSCC for Withdrawal Fee Concession (Pre-approval) (updated as of March 2020)
Dep 1B Application to HKSCC for Withdrawal Fee Concession (Final approval) (updated as of March 2020)
Dep 2A Application to HKSCC for Scrip Fee Concession (Pre-approval) (updated as of December 2019)
Dep 2B Application to HKSCC for Scrip Fee Concession (Final approval) (updated as of December 2019)
Dep 3 Transfer Instruction (CMU) to HKSCC (updated as of December 2019)
Dep 5 Cross-Border Transfer Instruction (Foreign Securities) to HKSCC (updated as of August 2019)
Dep 6 Transfer Instruction to HKSCC (for delisted stock) (updated as of August 2019)
4.2 Participantship Management
AC 5 Stock Account Mapping Maintenance to HKSCC for the Use of Shanghai and Shenzhen Stock Connect (updated as of December 2019)
AC 7 Master SPSA ID to SPSA Mapping Maintenance Request (eService available from 17 August 2020)
AC 14 Stock Segregated Account - Without Statement Maintenance Request to HKSCC (updated as of April 2019)
AC 15 Standing Instruction to HKSCC for Settlement of Intra-day Marks, Intra-day Margin and Intra-day Mainland Settlement Deposit by CPI (updated as of December 2019)
DA 1 VaR Online Delegated Administrator Rights Application / Maintenance Form (updated as of Sep 2021)
PAM 2 Registration As A Clearing Participant Registered To Use The Clearing Link For The Clearing And Settlement Of Transactions Involving China Connect Securities (updated as of December 2019)
SEOCH
AC 4 CCMS Collateral Account Designation for Marks, Margin and Concentration Collateral Collection by SEOCH (updated as of April 2019)
SEHK
PAM 1 Registration As An Exchange Participant Registered To Use The Trading Link To Trade In China Connect Securities (updated as of December 2019)
AC 8 Master SPSA ID & Designated Executing Broker Mapping Maintenance Request(eService available from 17 August 2020)
HKCC / SEOCH
AC 1 DCASS Account Maintenance Request to HKCC/SEOCH (updated as of April 2019)
AC 2 DCASS User Account Maintenance Request to HKCC/SEOCH (updated as of December 2019)
AC 3 Selected Currency Designation Request to HKCC/SEOCH (updated as of April 2019)
HKSCC/SEHK
AC 6 Special Segregated Account and Designated Executing Broker Maintenance Request to HKSCC (updated as of August 2019)
HKSCC/HKCC/SEOCH
AC 9 Change of Company Name (updated as of April 2019)
AC 11 Change of Authorised Signatories (updated as of December 2019)
AC 12 Update Bank Account (updated as of December 2019)
AC 13 Change of Company Particulars and Contact Persons (updated as of April 2019)
SCard 2 Smartcard Maintenance for user (PG or Special Request) (updated as of December 2019)
SCard 3 Order Smartcard Reader(s) (updated as of April 2019)
RR 1 Request for Retrieving DCASS/CCMS/CCASS Reports and Data Files (updated as of December 2019)
DA 3 CCASS/ CCMS Delegated Administrator Application/ Maintenance Form (updated as of June 2023)
DA 4 CCASS / CCMS User Account Application Form (updated as of June 2023)
4.3 Technical setup
TechS 7 PG Acquisition Confirmation Reply to HKSCC (updated as of December 2019)
HKCC/SEOCH
TechS 1 DCASS/OAPI Connectivity Test Confirmation Request to HKCC / SEOCH (updated as of December 2019)
TechS 2 DCASS OAPI Certification Test Application /Confirmation Request to HKCC/SEOCH (updated as of December 2019)
TechS 3 DCASS OAPI Program Readiness Declaration Request to HKCC/SEOCH (updated as of December 2019)
TechS 4 Request to HKCC/SEOCH for accessing DCASS OAPI Testing Environment (updated as of April 2019)
TechS 5 DCASS Production / Testing Line Application and/or Change of Bandwidth Notification to HKCC/SEOCH (updated as of April 2019)
TechS 6 CCASS/CCMS SDNet Line Service Notification (updated as of January 2024)
TechS 8 RAP Registration and Maintenance for HKSCC or HKCC/SEOCH or Share Registrar (updated as of August 2021)
4.4 Event
Event ID Activity Enrolment (updated as of April 2019)
4.5 File Transmission
UD Submission and Download (updated as of April 2019)
UD Submission and Download (For Share Registrar) (updated as of December 2019)
4.6 Hosting Services
Client Connect User Manual: Hosting Services (updated as of December 2022)
Appendix
1 eService Workflow Type and Statuses (updated as of June 2023)
2 User Roles and List of Function ID Mapping by Type of Users, please refer to Access Management User Guide (Updated as of January 2023)
3 [Obsoleted]
4 List of Function ID Mapping with eService/Form (updated as of June 2023)
5 List of eService by Entities (updated as of June 2023)
Updated 09 Jan 2024