Operations & Technical

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 HKSCC unless a Participant / Designated Bank notifies HKSCC 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 HKSCC 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 CCASS Hotline at 2979-7111 if you have any query of the submission channel.

Updated 22 Sep 2017

Settlement Operations

Forms / eServices	Form # / eService ID	Reference	Submission Channels*
Forms / eServices	Form # / eService ID	Reference	Email	Fax	Client Connect
Voting Request Form - CNS Positions	CCASS-Form 1		yes
Entitlement Election Form - CNS Positions	CCASS-Form 2		yes
Subscription of Open Offer Form - CNS Positions	CCASS-Form 3		yes
Take-over Offer Acceptance/Election Form - CNS Positions	CCASS-Form 4		yes
Rights Issues Subscription Election Form - CNS Positions	CCASS-Form 5		yes
Debt Securities Conversion Request Form - CNS Positions	CCASS-Form 5		yes
Warrant Conversion Election Form - CNS Positions	CCASS-Form 5		yes
Rights Issues Subscription Election Form - IT Positions	CCASS-Form 5		yes
Debt Securities Conversion Request Form - IT Positions	CCASS-Form 5		yes
Warrant Conversion Election Form - IT Positions	CCASS-Form 5		yes
Debt Securities Redemption Request Form - IT Positions	CCASS-Form 6		yes
Application Form for Cancellation of Settlement Position	CCASS-Form 7		yes
Cash Prepayment - Intra-bank Transfer Sample	CCASS-Form 8		yes
Cash Prepayment - CHATS Payment Instruction Sample	CCASS-Form 9		yes
Application to HKSCC for Exemption of Buy-in	Set 1				yes
Early Buy-in Request to HKSCC	Set 2				yes
Request for Special Buy-In (Obsolete)	Set 3 (Obsolete)
Buy-in Request to HKSCC for CCASS Isolated Trades only	Set 4				yes
Authorization to HKSCC from the short clearing participant for debiting their stock entitlement account (Obsolete)	Set 5 (Obsolete)

Updated 18 Aug 2023

Depository Services

Forms / eServices	Form # / eService ID	Reference	Submission Channels*
Forms / eServices	Form # / eService ID	Reference	Email	Fax	Client Connect
Stock Collection Authorization Form	CCASS-Form 12
Stock Pledgee Declaration Form	CCASS-Form 13
Stock Deposit Form^	CCASS-Form 14
Void Voucher (Participant Copy)^	CCASS-Form 15
Adjustment Voucher (Participant Copy)^	CCASS-Form 16
Beneficiary Details and Registration Authorization Form	CCASS-Form 17
Application to HKSCC for Scrip Fee Concession (Pre-approval)	Dep 2A				yes
Application to HKSCC for Scrip Fee Concession (Final approval)	Dep 2B				yes
Transfer Instruction (CMU) to HKSCC	Dep 3				yes
Foreign Securities Withdrawal Form	CCASS-Form 24
Cross-border Transfer Instruction (Foreign Securities) to HKSCC	Dep 5				yes
Creation of Units - Credit Authorization Form (Cash Application) #	CCASS-Form 28			yes
Creation of Units (In Kind Creation) - Debit and Credit Authorization Form #	CCASS-Form 29			yes
Redemption of Units - Debit and Credit Authorization Form #	CCASS-Form 30			yes
Declaration and Letter of Indemnity in respect of Issuance of Replacement Transfer Deed	CCASS-Form 47
Application to HKSCC for Withdrawal Fee Concession (Pre-approval)	Dep 1A				yes
Application to HKSCC for Withdrawal Fee Concession (Final approval)	Dep 1B				yes
Application for Withdrawal Fee Concession (Scenario 3) - Sample Application Letters	CCASS-Form 96
Foreign Securities - ‘Receipt Free of Payment’ Instruction	CCASS-Form 110
Foreign Securities - ‘Delivery Free of Payment’ Instruction	CCASS-Form 111
Foreign Securities - Cancel ‘Receipt Free of Payment’ Instruction	CCASS-Form 112
Foreign Securities - Cancel ‘Delivery Free of Payment’ Instruction	CCASS-Form 113
Foreign Securities (Italian Company) - 'Receipt Free of Payment' Instruction	CCASS-Form 114
Foreign Securities (Italian Company) - 'Delivery Free of Payment' Instruction	CCASS-Form 115
Foreign Securities (Italian Company) – Cancel 'Receipt Free of Payment' Instruction	CCASS-Form 116
Foreign Securities (Italian Company) - Cancel 'Delivery Free of Payment' Instruction	CCASS-Form 117

^ For reference only. Participants please obtain the original forms from Depository Counter.
# To be followed by original form.

Forms	Form #	Reference	Additional submission Channels*
Forms	Form #	Reference	Email	Fax

Updated 02 Apr 2024

Nominee Services

Forms / eServices	Form # / eService ID	Reference	Submission Channels*
Forms / eServices	Form # / eService ID	Reference	Email	Fax	Client Connect
Voting Request Form	CCASS-Form 36		yes
Corporate Representative/ Proxy Request Form	CCASS-Form 37	Email Template for Hybrid/Virtual meetings	yes
Foreign Currency Dividend Entitlement Instruction Form	CCASS-Form 38		yes
Cash/ Scrip Dividend Election Form	CCASS-Form 39		yes
Rights Issue / Open Offer / Preferential Offer Subscription Form	CCASS-Form 40		yes
Takeover Offer Acceptance Form	CCASS-Form 41		yes
Takeover Offer Withdrawal Form	CCASS-Form 42		yes
Warrant Conversion Request Form	CCASS-Form 43		yes
Dividend Bonus Claim Submission to HKSCC	Nom 1	Letter of Indemnity			yes
Denomination of certificate	Nom 2				yes
Corporate Communication Request to HKSCC	Nom 3				yes
Debt Securities Conversion Request Form	CCASS-Form 45		yes
Debt Securities Redemption Acceptance Form	CCASS-Form 46		yes
Application for Requisition	CCASS-Form 105
Cancellation Form for CA ISO Message Service	CCASS-Form 108		yes
Election Form to receive Corporate Communication of Non-eligible Securities	CCASS-Form 118		yes

Updated 02 Apr 2024

Technical

Forms / eServices	Form # / eService ID	Reference	Submission Channels*
Forms / eServices	Form # / eService ID	Reference	Email	Fax	Client Connect
Request for Back-up Facilities Form	CCASS-Form 72
Sharing of CCASS3/CCMS Terminal to Access CCASS/CCMS	G-Form 10
CCASS/CCMS SDNet Line Service Notification	G-Form 7 / TechS 6		yes	yes	yes
PG Acquisition Documents

Updated 01 Jun 2020