香港聯合交易所有限公司
(香港交易及結算所有限公司全資附屬公司)
THE STOCK EXCHANGE OF HONG KONG LIMITED
(A wholly-owned subsidiary of Hong Kong Exchanges and Clearing Limited)
Application for HKEX Orion Central Gateway Session (For BSS Users)
Notes:
1.
Please read carefully all the information provided in this document and the relevant Explanatory
Note(s) before completion of the application.
2.
Please complete separate application form for each HKEX Orion Central Gateway (OCG) Session.
3.
The completed application form should be submitted by fax at 2521-7899 or by email to
ams3info@hkex.com.hk and followed by a telephone call at 2840-3626 to confirm submission.
4.
Before Exchange Participant (EP) applies to OCG Session, please ensure applicable circuits have
already been subscribed from the respective network provider. For SDNet/2 circuit, kindly contact
SDNet/2 Accredited Vendor.
F o r HKEX Service Network, kindly contact from HKEX Hosting
Services. For HSN Virtual Port Service, kindly contact Approved ASP. Approved ASP is a Hosting
subscriber who provides Approved ASP services.
5.
The OCG session is for trading only and no securities market data (e.g. market data, reference data &
market information) is transmitted from OCG to BSS. EP may choose to receive securities market data
directly from HKEX Orion Market Data Platform – Securities Market or indirectly via information vendors.
6.
No Central Trade Feed and enquiry function are provided by OCG. EP should subscribe at least one
Drop-Copy Session for receiving the real-time copy of order and trade reporting of all broker IDs
belonging to the EP regardless of the trading input device used.
For details, please refer to
“Application for New / Change of Particulars of Drop-Copy Session – For BSS Users”.
7.
EP may terminate the use of OCG Session by serving a 1-month advance written notice to HKEX –
Cash Trading.
8.
For enquiry, please contact HKEX – Participant General Enquiry Hotline at 2840-3626.
Part I – Participant Information
Name of Exchange Participant
Participant ID
Contact Point for HKEX Orion Central Gateway Session
Contact Person Name
Office Phone No.
Email Address
Mobile Phone No.
Fax No.
(Updated in February 2016)
Page 1
Part II – Application Details [please tick the appropriate box(es) below]
OCG Session/BSS – For Normal Trading
(please refer to Explanatory Note 1)
Section A
OCG Session Configuration
(to be completed by HKEX)
1)
Comp ID for the OCG Session :
2)
Protocol for the OCG Session :
3)
Require Cancel on Disconnect* (COD) Service for the OCG Session :
 Binary
 FIX
*COD is an optional feature for OCG session that will cancel outstanding orders of the corresponding OCG session upon specific
disconnection scenario.
4)

No

Yes (please also complete “Application for New / Change of Particulars of Cancel on Disconnect Service of
HKEX Orion Central Gateway Session – for BSS Users”)
Connection Information to OCG Session :
st
1 BSS IP Address : ____ ____ ____  ____ ____ ____  ____ ____ ____  ____ ____ ____
Primary Circuit No. :
Secondary Circuit No. :
Installation Address :
Accredited Vendor :





PCCW
Wharf T&T
HGC
(For SDNet/2 circuits)
HKEX Hosting Services (for HKEX Service Network)
Subscriber Code of Hosting Services :
HKEX Hosting Services Approved ASP (for HSN Virtual Port Service)
Approved ASP name:
Circuit Installation Date :
5)
Connection Information to Backup OCG Session :
2
nd
BSS IP Address : ____ ____ ____  ____ ____ ____  ____ ____ ____  ____ ____ ____
Primary Circuit No. :
Secondary Circuit No. :
Installation Address :
Accredited Vendor :





PCCW
Wharf T&T
HGC
(For SDNet/2 circuits)
HKEX Hosting Services (for HKEX Service Network)
Subscriber Code of Hosting Services :
HKEX Hosting Services Approved ASP (for HSN Virtual Port Service)
Approved ASP name :
Circuit Installation Date :
Page 2
Comp ID : __________________________
rd
3 BSS IP Address : ____ ____ ____  ____ ____ ____  ____ ____ ____  ____ ____ ____
Primary Circuit No. :
Secondary Circuit No. :
Installation Address :
Accredited Vendor :



PCCW

Wharf T&T
HGC
(For SDNet/2 circuits)
HKEX Hosting Services (for HKEX Service Network)
Subscriber Code of Hosting Services :

HKEX Hosting Services Approved ASP (for HSN Virtual Port Service)
Approved ASP name:
Circuit Installation Date :
th
4 BSS IP Address : ____ ____ ____  ____ ____ ____  ____ ____ ____  ____ ____ ____
Primary Circuit No. :
Secondary Circuit No. :
Installation Address :
Accredited Vendor :



PCCW
Wharf T&T

HGC
(For SDNet/2 circuits)
HKEX Hosting Services (for HKEX Service Network)
Subscriber Code of Hosting Services :

HKEX Hosting Services Approved ASP (for HSN Virtual Port Service)
Approved ASP name:
Circuit Installation Date :
6)
Migrate from existing OG :
Section B
1)

No

Yes, please specify the OG Device ID :
BSS Information
BSS connected to the OCG Session :

Existing BSS

New BSS
Name of BSS Vendor :
Section C
1)
BSS Version :
Market Data Channel
Market Data will be received from :


HKEX Orion Market Data Platform – Securities Market (OMD-C)
(For OMD-C new subscriber, please also complete “HKEX Orion Market Data Platform – Securities Market (“OMD- C”) Feed
Enrolment Form”)
Information Vendor, please provide the name :
Page 3
Comp ID : __________________________
Section D
1)
Trading Right/ Standard CG Throttle Rate/ Broker Number Assignment
No. of Trading Right/ Standard CG Throttle Rate/ Broker Number assigned to OCG Session :
No. of
assignment
Type
*New
Acquire
Broker No. to be
reassigned from other
devices / migrated OG
Re-assign from existing
Device ID (pls specify)
Trading Right

(
)
Standard CG Throttle Rate
acquired from the Exchange

(
)
Standard CG Throttle Rate due to
Dealing Desk Relinquishment

(
)
Total
N/A
N/A
*Acquire a new CG Standard Throttle Rate and assign to a new OCG Session, please also complete the “Application for Increase of
HKEX Orion Central Gateway (OCG) Throttle Rate”
Section E
Declaration by Participant
We,
(Name of Exchange Participant)
1.
agree at all times to keep HKEX and its subsidiaries fully indemnified against and in respect of all liabilities,
economic or otherwise, losses, damages, costs, claims, suits, demands, fees and expenses of whatsoever nature which
may be incurred by HKEX and its subsidiaries as a result of or in connection with or arising out of any act, omission,
mistake, delay or other fault of the EP in respect of or in connection with the use by the EP of the OCG or the BSS;
2.
understand that HKEX and its subsidiaries shall not be liable to the EP or any person claiming through the EP or any
other third party for any cause of action of whatever nature for and in respect of any liabilities, economic or otherwise,
losses, damages, costs, claims, suits, demands, fees and expenses of whatsoever nature suffered by the EP or any
third party arising from any cause whatsoever or (without prejudice to the generality of the foregoing) arising from any
act, omission, mistake, delay, interruption, whether negligent or otherwise, in respect of or in connection with or arising
out of the operation, use or maintenance of the OCG;
3.
commit to pay for the relevant fees and charges applicable for this Application; and
4.
have read the explanatory note of the application form.
Signature of Responsible
Officer with Company Chop
:
Name of Responsible Officer
:
Date
Page 4
:
OCG Session/BSS – For Market Making
(please refer to Explanatory Note 2)
Section A
OCG Session Configuration
(to be completed by HKEX)
1)
Comp ID for the OCG Session :
2)
Apply for OCG Session for market making (MMOCG) in the capacity as :
Broker No.
No. of Standard CG Throttle Rate Assignment


Securities Market Maker



Structured Product Liquidity
Provider

(to be completed by HKEX)
Note 1
Base on CG throttle rate calculation
Note 2
Requested by EP (
)*
*Subject to adjustment by HKEX if the requested
Note 1
number is less than calculation
Note 1
Base on CG throttle rate calculation
Note 2
Requested by EP (
)*
*Subject to adjustment by HKEX if the requested
Note 1
number is less than calculation
Note1
Standard CG throttle rate calculation : First 5 listings of eligible securities assigned to MMOCG session will be given for 2 standard
CG throttle rates and an additional throttle rate will be given for the next 5 eligible securities (i.e. 6 to 10, 11 to 15 etc.) up to 500
eligible securities. The Standard CG throttle rate will not be withdrawn upon the delisting of the eligible securities. Please refer to the
Explanatory Note (EN2-OCG Session/BSS for Market Making) for more information.
Note2
EP can request additional standard CG throttles in addition to the above calculation up to 250 standard CG throttles per OCG session.


3)
Protocol for the OCG Session :
4)
Require Cancel on Disconnect* (COD) Service for the OCG Session :
Binary
FIX
*COD is an optional feature for OCG session that will cancel outstanding orders of the corresponding OCG session upon specific
disconnection scenario.
5)

No

Yes (please also complete “Application for New / Change of Particulars of Cancel on Disconnect Service of
HKEX Orion Central Gateway Session – for BSS Users”)
Connection Information to OCG Session :
st
1 BSS IP Address : ____ ____ ____  ____ ____ ____  ____ ____ ____  ____ ____ ____
Primary Circuit No. :
Secondary Circuit No. :
Installation Address :
Accredited Vendor :


PCCW

Wharf T&T

HGC
(For SDNet/2 circuits)
HKEX Hosting Services (for HKEX Service Network)
Subscriber Code of Hosting Services :

HKEX Hosting Services Approved ASP (for HSN Virtual Port Service)
Approved ASP name:
Circuit Installation Date :
Page 5
Comp ID : __________________________
6)
Connection Information to Backup OCG Session :
2
nd
BSS IP Address : ____ ____ ____  ____ ____ ____  ____ ____ ____  ____ ____ ____
Primary Circuit No. :
Secondary Circuit No. :
Installation Address :
Accredited Vendor :


PCCW


Wharf T&T
HGC
(For SDNet/2 circuits)
HKEX Hosting Services (for HKEX Service Network)
Subscriber Code of Hosting Services :

HKEX Hosting Services Approved ASP (for HSN Virtual Port Service)
Approved ASP name:
Circuit Installation Date :
rd
3 BSS IP Address : ____ ____ ____  ____ ____ ____  ____ ____ ____  ____ ____ ____
Primary Circuit No. :
Secondary Circuit No. :
Installation Address :
Accredited Vendor :


PCCW


Wharf T&T
HGC
(For SDNet/2 circuits)
HKEX Hosting Services (for HKEX Service Network)
Subscriber Code of Hosting Services :

HKEX Hosting Services Approved ASP (for HSN Virtual Port Service)
Approved ASP name:
Circuit Installation Date :
th
4 BSS IP Address : ____ ____ ____  ____ ____ ____  ____ ____ ____  ____ ____ ____
Primary Circuit No. :
Secondary Circuit No. :
Installation Address :
Accredited Vendor :


PCCW

Wharf T&T

HGC
(For SDNet/2 circuits)
HKEX Hosting Services (for HKEX Service Network)
Subscriber Code of Hosting Services :

HKEX Hosting Services Approved ASP (for HSN Virtual Port Service)
Approved ASP name:
Circuit Installation Date :
7)
Migrate from existing OG :
Section B
1)

No

Yes, please specify the OG Device ID :
BSS Information
BSS connected to the OCG Session :

Existing BSS

New BSS
Name of BSS Vendor :
BSS Version :
Page 6
Comp ID : __________________________
Section C
1)
Market Data Channel
Market Data will be received from :


HKEX Orion Market Data Platform – Securities Market (OMD-C)
(For OMD-C new subscriber, please also complete “HKEX Orion Market Data Platform – Securities Market (“OMD- C”) Feed
Enrolment Form”)
Information Vendor, please provide the name :
Section D
Declaration by Participant
We,
(Name of Exchange Participant)
1.
agree at all times to keep HKEX and its subsidiaries fully indemnified against and in respect of all liabilities,
economic or otherwise, losses, damages, costs, claims, suits, demands, fees and expenses of whatsoever nature which
may be incurred by HKEX and its subsidiaries as a result of or in connection with or arising out of any act, omission,
mistake, delay or other fault of the EP in respect of or in connection with the use by the EP of the OCG or the BSS;
2.
understand that HKEX and its subsidiaries shall not be liable to the EP or any person claiming through the EP or any
other third party for any cause of action of whatever nature for and in respect of any liabilities, economic or otherwise,
losses, damages, costs, claims, suits, demands, fees and expenses of whatsoever nature suffered by the EP or any
third party arising from any cause whatsoever or (without prejudice to the generality of the foregoing) arising from any
act, omission, mistake, delay, interruption, whether negligent or otherwise, in respect of or in connection with or arising
out of the operation, use or maintenance of the OCG;
3.
commit to pay for the relevant fees and charges applicable for this Application; and
4.
have read the explanatory note of the application form.
Signature of Responsible
Officer with Company Chop
:
Name of Responsible Officer
:
Date
Page 7
: