Operations

Market Turnover

-

-

-

|

|

|

|

|

|

-

-

-

繁简

About HKEX

About HKEX

Investor Relations

Investor Relations

Corporate Governance

Corporate Governance

CSR

Media Centre

Careers

Related Sites: LME

HKEX Group

LME

Bond Connect

QME

HKEXnews

CESC

Sustainable & Green Exchange (STAGE)

Client Connect

Latest Market Data

Exchange Traded Products

Structured Products

Real Estate Investment Trusts

Debt Securities

Listed Derivatives

Foreign Exchange

OTC Derivatives

Eligible OTC Clear Products

Interest Rate Swaps

Non Deliverable Forwards

Cross Currency Swaps

MSCI Index Futures & Options

HKEX Sustainable & Green Exchange

Hosting Services

Data and Index Services

Real Time Data Services

Historical Data Services

Rules, Forms & Fees

Risk Management

CCP Disclosures

Listed Derivatives

Risk Management

CCP Disclosures

Risk Management

CCP Disclosures

Settlement and Depository

Settlement - Securities

Common Nominee Services

Securities Admission into CCASS

Unclaimed Entitlements Held by HKSCC Nominees Limited

Uncertificated Securities Market

Platform Services

Corporate Action Messaging Standardisation

FINI - A New Era for Hong Kong’s IPO market

Circulars & Notices

Become a Participant

HKEX Connect Hall

Join Our Markets

Listing with HKEX

Northbound and Southbound

Sustainable Finance

Sustainable & Green Exchange (STAGE)

Listing of Specialist Technology Companies

Listing Regulations

How We Regulate

Listing Newsletters

Listing Committee

Listing Review Committee

Listing Policy Panel Report

Rules and Guidance

Interpretation and Guidance

Listing of Overseas Issuers

Listing of Biotech Companies

Listing of Specialist Technology Companies

Launch of FINI platform

Expansion of the Paperless Listing Regime

Listing e-Forms Guidance Materials

Application Proof, PHIP and Related Materials

New Listing Information

Listing Matters regarding Sponsor Regulation and Intermediaries Regulation

Other Materials

Issuers' Continuing Obligations & Annual Listing Fees

Guides on the Exchange's Practices and Procedures for Handling Listing-related Matters

Exchange's Reports

Structured Products

Products and Issuers' Information

Debt Securities

Summary of Listing Requirements for Debt Issues to Professional Investors Only

Guidance Materials

Disciplinary & Enforcement

Disciplinary Procedures

Enforcement Guidance Materials

Disciplinary Sanctions

Enforcement Bulletin

Enforcement Statistics

Request for Assistance

Sustainability & Corporate Governance

Board Diversity Hub

Corporate Governance Practices

Listing Newsletters

Contact Us / Make a Complaint

Corporate News Releases

Regulatory Announcements

Market Communications

Market Consultations

Research Reports

Connect Programmes

Daily Statistics

Market Highlights

Eligible Securities

Stock Quote Lookup

Securities Prices

Exchange Traded Products

Derivative Warrants

Inline Warrants

Callable Bull / Bear Contracts

Real Estate Investment Trusts

Debt Securities

Futures & Options Prices

Foreign Exchange

Consolidated Reports

Securities Market

Derivatives Market

Clearing, Settlement and Depository

Market Data Services

Operations

Updated 19 Sep 2017

Trading Device

Forms	Reference	Submission Channels		eService ID
		Email	Client Connect
Application for CCCG (for BSS user)	Explanatory Notes			CS007
Application for Drop Copy Session (for BSS user)	Explanatory Notes			CS008
Requisition Form for Change of BSS Connection Information for China Connect Central Gateway (CCCG)/ China Connect Drop-Copy Session	Explanatory Notes			CS030
Confirmation Form for Rollout/ Termination/ Re-assignment/ Change of Broker Supplied System (BSS) under China Connect Central Gateway (CCCG) and/ or China Connect Drop-Copy (CC Drop-Copy) Session				CS023
OTP-C / CSC Trading Device and BSS Co-ordinator Contact Update				CB028
Comp ID Password of CCCG/ China Connect Drop-Copy Session Reset Form
Requisition Form of Reset CCCG Message Sequence Number

Updated 09 Sep 2024

Throttle Rate

Forms	Reference	Submission Channels		eServices ID
		Email	Client Connect
Application for Increase of CCCG Throttle Rate	Explanatory Notes			CS009
Application for Subscription or Termination of China Connect Monthly Throttle Rates	Explanatory Notes			CS010

Updated 31 Aug 2022

Testing

Forms	Reference	Submission Channels		eServices ID
		Email	Client Connect
BSS Change Notification	Explanatory Notes			CB011
Notification of Testing Line	Explanatory Notes			CB012
China Connect Weekend Testing Booking Form				CS021
Application for Exemption from Conducting Rollout Test				CB017

Updated 23 Feb 2024

Procedures and Reporting

Forms	Reference
[SBL] Undertaking by China Connect Exchange Participant Lending China Connect Securities to Clients Shanghai Connect Shenzhen Connect
[SBL] Confirmation by China Connect Exchange Participant Borrowing China Connect Securities Shanghai Connect Shenzhen Connect
[SBL] Template for the Stock Borrowing and Lending Monthly Report for China Connect Securities Shanghai Connect Shenzhen Connect	Instructions and Notes
[Short Selling] Template for the Large Open Short Position Report for China Connect Securities Shanghai Connect Shenzhen Connect
[Short Selling] Template for the Short Selling Weekly Report for China Connect Securities Shanghai Connect Shenzhen Connect	Instructions and Notes
Template for the Quarterly Return on Trading Composition (Form TCS) Shanghai Connect Shenzhen Connect	Instructions and Notes
Reporting of Trading Discrepancy / Error (For China Connect Securities Only)
Reporting of Trading Discrepancy / Error (For China Connect Securities in relation to Special Segregated Account only)

Updated 05 May 2023

Others

Forms	Reference	Submission Channels		eService ID
		Email	Client Connect
Short Selling Function Rollout Form				CS026
Request for Broker Activity / Transaction Report for China Stock Connect System (CSC)

Updated 31 Jan 2023