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OTC Clear Operational Forms

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Updated 05 Jun 2023

Operational Setup for OTC Clear Clearing Members


Name of Document Tentative
lead-time 
1. Information Pack the Securities and Derivatives Network/2 (SDNet/2)
 For reference. Telecom services providers will typically need 4 - 8 weeks for set-up.
2. OTC Account Services Information System (OASIS) Configuration Guide  For reference
3. OASIS Account Maintenance Form  2 weeks
4. Change of Company Particulars and Contact Person Form 2 weeks
5. Change of Authorised Signatures    1 - 2 weeks
6. Risk Limit Maintenance Form  1 - 2 weeks
7. Intra-day Collateral Deposit / Withdrawal Request Form For contingency use only
8. Request Form for retrieving OASIS reports    For contingency use only
9. Request for Change of Products Accepted for Clearing              2 weeks
10. Request for Change of Fee Tariff Type 1 – 2 weeks
11. Supplementary Notes on Clearing Fees Charged by OTC Clear  For reference
12. ATRS Identifier Maintenance Form 1 – 2 weeks
13. Change of Solo Compression Service From 1 – 2 weeks
14. Request for the use of SFTP report download service 1 – 2 weeks
15. Money Settlement Maintenance Form 1 – 2 weeks
16.  Use of Excess Margin Collateral to Cover Stress Loss  5 business days 
17.  Request for Termination of Membership 1 – 2 weeks
18. Information related to Regulatory Reporting 1 – 2 weeks
19. Process Agent Information required from Remotely Regulated Entity 1 – 2 weeks

Updated 16 Sep 2021

Operational Forms for Clearing Brokers and Clients

Name of Document Executed by
1. Client Onboarding Request Form Clearing Broker
2. Information of Client’s Replacement Clearing Member and Settlement Instruction Client
3. Request Form for porting of Contracts and Collateral amongst Client Accounts Clearing Broker and Client
Reply Form for porting of Contracts and Collateral amongst Client Accounts Clearing Broker
4. Request Form for Full Portfolio Transfer Transferee Clearing Member and Client
Reply Form for Full Portfolio Transfer (Transferor) Transferor Clearing Member
Reply Form for Full Portfolio Transfer (Transferee) Transferee Clearing Member
5. Request Form for Partial Portfolio Transfer Transferee Clearing Member and Client
Reply Form for Partial Portfolio Transfer (Transferor) Transferor Clearing Member
Reply Form for Partial Portfolio Transfer (Transferee) Transferee Clearing Member
6.  Security Deed (applicable only for Clearing Broker incorporated in the People’s Republic of China (excluding Hong Kong, Macao Special Administrative Region, and the Taiwan area)) Clearing Broker
7.  Client Clearing Services Authorisation and Consent Form Clearing Broker

Updated 14 Jul 2017

Operational Forms for non-cash collateral

Name of document
1. Request form for new non-cash collateral instrument set-up
2. Request form for the withdrawal of non-cash collateral redemption proceeds

Updated 14 Jul 2017