REGISTRATION FORM FOR THE INTERNATIONAL ORDER BOOK,
HONG KONG SEGMENT (“HKOB”)
THIS FORM IS TO BE COMPLETED AND RETURNED TO THE EXCHANGE BY CLOSE OF BUSINESS ON FRIDAY 14
MARCH 2003 IF YOU REQUIRE PARTICIPATION IN THIS NEW SEGMENT FROM DAY ONE
Contact Details
Name of firm/company*:
Contact name(s):
Telephone number:
Email address:
*please ensure the name specified is the same legal entity as signed on your Trading Services User Agreement.
1. Service Registration
Please tick
The above member firm wishes to register for participation in the Hong Kong ordinary equity segment
of the International Order Book service (“HKOB”), enabling order entry with effect from 31 March 2003 (see note)
2. Participant Details
Please identify below which participant codes you intend to use for this service. If you intend to use more
than two BIC codes, please use a separate form.
Participant
Mnemonic**
Participant Code*
CCASS settlement code***
1st
code
2nd
code
* the recognised BIC code used to identify your firm on the Exchange’s trading system (up to a maximum of 11 characters)
** the 4 character mnemonic that identifies a trading participant, also known as the SEAQ code
*** the CCASS settlement account used to settle trades in Hong Kong equities
3. Authorisation
We understand and agree that the service provided is subject to our Trading Services User Agreement. I confirm that we are
able to comply with Exchange rules covering the requirement to settle Hong Kong equity trades executed on IOB in the
standard place of settlement, which is CCASS for Hong Kong equities.
Signed for and on behalf of firm/company
Position in firm/company
HKOB
Name (please print)
Date
Confirmation. Signed for and on behalf of London Stock Exchange plc
Date
Where to Send the Form
It is important that we receive the original form, so please return by post to the Trader Access team. You may fax the form,
but please ensure you post the original.
Trader Access Team fax number:
Return by post to:
020 7920 4782
F.A.O. Usha Nair
Trader Access Team
London Stock Exchange
Old Broad Street
LONDON
EC2N 1HP
Guidance Notes for Completing The IOB, HKOB Service Registration Form
These notes are intended to provide you with all the information you require to complete the
registration form for the International Order Book service for Hong Kong equities (“HKOB”). The
section headings correspond directly with those on the registration form.
1. Service Registration
Registering for the HKOB segment on the International Order Book service will enable your firm to enter
orders to trade automatically in the most liquid Hong Kong equities. IOB broker dealers may enter all the
existing order types currently in IOB (market, limit, at best, execute & eliminate, fill or kill and named order
types). The named order allows firms to advertise their identity against their order on the book. All
member firms will be automatically enabled to enter trade reports for IOB eligible securities as trade
reporting is mandatory for all member firms dealing in Hong Kong equities away from the order book but
on-Exchange.
2. Participant Details
Please enter the Bank Identifier Code(s) and Mnemonic(s) that you intend to use to conduct your
business on the London Stock Exchange. All trading connections associated with the specified BICs will
be enabled to enter IOB data. The Exchange will maintain a record of all registered member firms’
settlement account details in the Hong Kong settlement institution, CCASS. If you have any questions
about completing this section please telephone Usha Nair on 020 7797 1259.
3. Authorisation
Exchange rules covering trading in IOB securities require that automatically executed transactions must
be settled in the standard place of settlement. The standard place of settlement for Hong Kong equities is
CCASS. You must have the ability to settle in the appropriate place or mechanism if you wish to register
for this service.
On receipt of the completed form, the Exchange will check the details, countersign and return a copy to
you to confirm acceptance of your registration. Please stamp the form with your return address.
HKOB