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Participantship/Membership

Client Connect has become the mandatory channel to submit digitalized requests when related eServices are available. Participants should sign-up for Client Connect by submitting the completed the CCDA Form.

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Updated 17 Feb 2020

Clearing Participantship application process update – With effect from 2 January 2018, an applicant applying for Clearing Participantship of HKCC must become a Type 2 SFC licensed entity and an applicant applying for Clearing Participantship of SEOCH must become a Type 1 SFC licensed entity before submitting the operations and risk control plan for HKEX’s review. HKEX has also updated the information / documentation needed for Clearing Participantship application as set out in more details in the Explanatory Notes for Application for Participantship and Trading Right. Applicants who have already submitted the operations and risk control plan or submitting their plans to HKEX on or before 31 January 2018 based on the guidelines provided by HKEX prior to 2 January 2018 will not be affected by the changes unless being informed otherwise by the HKEX.

Removal of company chop requirement – With effect from 6 April 2017, a company chop will not need to be affixed to any forms or documents submitted to HKCC / SEOCH unless a Participant notifies HKCC / SEOCH that a company chop is required. For more details, please refer to the Circular dated 6 March 2017.

*Form submission channel – All forms or documents can be submitted to HKCC / SEOCH in original. Moreover, certain forms duly signed by the authorised signatory(ies) can also be submitted by email or fax as set out in the table below. Please contact DCASS Hotline at 2979-7222 if you have any query of the submission channel.

Updated 29 Dec 2017

Participant/Member Admission

Forms / eServices Form # / eService ID Reference Submission Channels*
Email Fax Client Connect
Application for Participantship and Trading Right 1 Explanatory Notes 

 
Financial Statement 1E


 
Personal Information Collection Statement 4A


 
SEOCH Participantship Agreement nil


 
Certificate of Status of Beneficial Owner for United States Tax Withholding and Reporting (Entities) W-8BEN-E  Instructions for Form W-8BEN-E      
nil 
       
Operational Setup Forms (SEOCH) - Mandate Authorising SEOCH to transfer collateral and settlement amount to Hong Kong Securities Clearing Company Limited (for CCASS Participant) nil


 
Operational Setup Forms (SEOCH) - Mandate Authorising SEOCH to transfer collateral and settlement amount to Hong Kong Securities Clearing Company Limited (for CCASS NCP) nil


 
Operational Setup Forms (SEOCH) - Deed of Charge (for CCASS Participant) nil


 
Operational Setup Forms (SEOCH) - Deed of Charge (for CCASS NCP) nil


 
Operational Setup Forms (SEOCH) - DCASS Subscription and Licence Agreement nil


 
Operational Setup Forms (HKCC) - DCASS Subscription and Licence Agreement  nil        
SEOCH-Form 12 
       
HKCC-Form 12 
       
Operational Setup Forms (HKCC & SEOCH) - Change of Company Particulars and Contact Persons 
AC 13
      yes
DCASS Production / Testing Line Application and/or Change of Bandwidth Notification to HKCC/SEOCH TechS 5             

  yes
G-Form 14



 
G-Form 13


 
Operational Setup Forms (HKCC & SEOCH) - Application Form for SFTP User IDs for Report Retrieval Solution at Listed Derivatives Market  DCASS-Form 15 Sample Zip File  yes    
Operational Setup Forms - Client Connect Delegated Administrator Rights Application / Maintenance Form  G-Form 11  Explanatory Notes      
G-Form 7
   yes  yes  
Operational Setup Forms (HKCC & SEOCH) - Sharing of CCASS3/CCMS Terminal to Access CCASS/CCMS G-Form 10


 

Updated 17 Sep 2020

Participant/Member Account Maintenance

Forms / eServices Form # / eService ID Reference Submission Channels*
Email Fax Client Connect

Smartcard Maintenance for User and DA

SCard 1        yes
Order Smartcard Reader(s)
SCard 3        yes
DCASS User Account Maintenance Request to HKCC/SEOCH AC 2        yes
Change of Company Name 
AC 9
       yes
Change of Authorised Signatories
AC 11        yes
Update Bank Account AC 12        yes

Change of Company Particulars and Contact Persons

AC 13        yes
Request for Retrieving DCASS/CCMS/CCASS Reports and Data Files RR 1        yes
HKCC-Form MF01 
  yes  yes   
HKCC-Form MF02 
  yes  yes   
HKCC-Form MF03 
  yes  yes   
HKCC-Form 10 
  yes  yes   
DCASS Account Maintenance Form - HKCC/ SEOCH

AC 1



 yes

Updated 27 May 2020

Participantship - Others

Forms / eServices Form # / eService ID Reference
Application for Change of Participantship Category Form 1G Explanatory Notes

Updated 17 Aug 2020

Notification

Updated 18 Aug 2020