DCASS Course 2 - Hong Kong Securities and Investment Institute

http://www.hksi.org
Continuous Professional Training Courses
DCASS Course 2 - DCASS Operation Training (TPPFR16004302)
Objectives
The course is designed to provide participants the knowledge of the clearing and settlement operations of the derivatives clearing houses. The
daily clearing activities and collateral management of futures and options contracts will also be included.
Course Content
Course 1 – Understanding of Derivatives Clearing (2 CPT hours)
‧The Structure of Clearing Houses
‧Clearing and Settlement Systems
‧Clearing Accounts
‧DCASS Trade Management
‧DCASS Position Management
‧Collateral Management
‧PRiME & Margin Calculation
Course 2 – DCASS Operation Training (2 CPT hours)
‧Introduction
‧DCASS Operation
- Logon & logoff
- Database Monitoring
- Trade Management
- Position Management
- Stock Options Related
- Report Explanation
- Report Download
- Margin Related
- Post-trade Transaction On-Behalf Input
Course 3 – CCMS Training (2 CPT hours)
‧CCMS Operation
- Logon & logoff
- Delegated Management System
- Collateral Management
- Stock Options Related
- Report Explanation
- Report Download
- Back-up Center
‧Communication Channel
‧Hotline Service
Course Instructor(s)
Course 1 :
Ms. Tanya Lam has over 3 years experience in derivatives service industry. She is responsible for training up a team in providing customer
support and helpdesk services to clearing houses participants.
Mr. Joey Wong has over 3 years experience in derivatives risk management. He is responsible for the risk monitoring and assessment for the
HKFE Clearing Corporation (HKCC) and The SEHK Options Clearing House Limited (SEOCH).
Course 2 :
Mr. Willy So has experience in derivatives service industry. He is currently responsible for providing customer support and helpdesk services to
clearing houses participants
Course 3 :
Ms May Mak has over 7 years and 3 years experience in securities and derivatives service industry respectively. She is responsible for training
up a team in providing customer support and helpdesk services to clearing houses participants.
Who Should Attend
Responsible officers, operations staff (in particular back office settlement staff), sales staff and account executives of brokerage firms.
HONG KONG SECURITIES AND INVESTMENT INSTITUTE 5/F, Wing On Centre, 111 Connaught Road, Central, Hong Kong
Professional Education and Training Hotline: 3120 6200 Fax: 2899 2611 Website: www.hksi.org Email: [email protected]
http://www.hksi.org
Administrative Details
Course Code
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Date & Time
:
Venue
:
Language
:
Level
:
Course Hours
:
Course Fees
:
Continuous Professional Training Courses
TPPFR16004302
15/11/2016 (9:30am - 11:30am)
Room 510, 5th Floor, Wing On Centre, 111 Connaught Road Central, Hong Kong
Cantonese
Introductory
2 CPT hour recognized by SFC
Exchange Participants, HKSI Institute Members or staff of HKSI Institute Corporate Members : HK$320
* Package Fee: HK$870, if courses 1 - 3 are enrolled
Non-members : HK$500
* Package Fee: HK$1,380, if courses 1 - 3 are enrolled
*Package enrolment is not applicable to online booking. If done so, no refund will be made.
HONG KONG SECURITIES AND INVESTMENT INSTITUTE 5/F, Wing On Centre, 111 Connaught Road, Central, Hong Kong
Professional Education and Training Hotline: 3120 6200 Fax: 2899 2611 Website: www.hksi.org Email: [email protected]
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Enrolment Form⛯⋋圦㛺ƋPlease read the general notes before completing the Enrolment Form 媲✏⡒塏∴ℯ斘孧塏㠣Ḳ䔚媲柯䟌ƌ
Part 1 䧪Ჾ徦ᶻ : Personal Particulars ỉᵸ宅㑗
Part 1A ƋCOMPULSORY ⾬柯⡒⯒ƌ
Title
Surname
Mr
/ Mrs / Ms / Miss / Dr
Mr / Mrs
/ Ms
/ Miss
/ Dr
/ ⤑⤑
/ ⥚⣒
/ ⯶⦷
/ ⍁⣒
ℯ䔆
ƋAs stated on your HKID Card / Passport ⾬柯凮榀㸖庒Ụ嬰 / 孞䅎ᷱ䛟⏳ƌ
先生/太太/女士/小姐/博士
First Name
Ḕ㕮⦺⏴Ƌ⥩恐䔏ƌ
Mobile Number ㈲㎷噆䢣
HKID Card/Passport No. 榀㸖庒Ụ嬰 / 孞䅎噆䢣
E-mail Address 曢惜✗✧
Confirmation notice will be sent via e-mail (Personal email address preferred) ⭟㛪⯮忶怵曢惜䙣⇡䢡婴态䟌Ƌ桔弶ỉᵸ方徳◮◾ƌ
HKSI Institute’ s Membership No. 㜓⭟㛪㛪Ⓢ䷏噆Ƌif any ⥩恐䔏ƌ
I am a member of GARP with member ID: (
㜓ạ㘖 GARP 㛪ⓈƏ噆䢣䂡Ɲ(
) and agree HKSI Institute to report my attendance to GARP for CPE record checking.
) ḍ⏳ヶ榀㸖嬰∟⎱㉼岮⭟㛪㉱㜓ạḲᷱ媙姿拫␯⠘ GARP ὃ CPE 㠟⯍䔏忻˛
Part 1B ƋOnly applicable to NEW applicants or EXISTING applicants who would like to update their personal information 恐䔏㖣㖗䔚媲俬ㇽ曧㛛㔠岮㖀Ḳ䏥㛰䳧拫ạ⣒ƌ
Name of Company ⅓⏟⏴䨘 *
Position 偞ἴ
Correspondence Address 态姱✗✧
Daytime Contact Number 㗌敺偖䵈曢婘噆䢣
Fax Number ₚ䜆噆䢣
*Please note that your company name will be shown on your Attendance Record ⇡⸔䳧拫⯮㛪桖䤡⅓⏟⏴䨘
Please affix your company stamp in the box if your company is a HKSI Institute Corporate Member
Corporate Member’ s Company Stamp
⥩岛⅓⏟㘖㜓⭟㛪⛿檻㛪Ⓢ 媲✏㠣ⅎ咲ᷱ⅓⏟⍗䫇
◖榒‪⊶∮䦞
Corporate Membership Number ⛿檻㛪Ⓢ䷏噆 ( C
)
Part 2 䧪ᵊ徦ᶻ : Other Information ‴ᶔ宅㑗濑For statistical analysis and promotion ᶣṙ䰯壆⃄㙎⊈㉦ⶡᴉ䏦濒
1) Education 㕀備䧲⺍
1.01
Secondary or below Ḕ⭟ㇽỌᷲ䧲⺍
1.02
Post-secondary ⤎⯯
1.03
Degree Graduate ⤎⭟䕉㥔
1.04
Master or above 䢐⣒ㇽỌᷱ
2) Main Working Field Ḣ奨⾅Ṳ堳㥔ƋChoose one key industry 恟㒮ᷧ柬Ḣ奨㥔⋀ƌ
2.01
Securities Dealing & Advising 嬰∟ẋ㗺
2.02
Derivatives Dealing & Advising 場䔆ⷌ⅞ẋ㗺⎱ヶ奲㎷ᾂ
2.03 Corporate
2.04
Leveraged Foreign Exchange Trading 㦺㡦⻶⣽⌖ẋ㗺
2.05
Credit Rating Services Ὲ岟娼䴁㛴⋀
2.06
2.07
Banking 执堳
2.12
Training & Education 㕀備⎱⟠姺
2.08
Private Wealth Management 䦨ạ岈⮳䮈䏭
2.13
Student ⭟䔆
Finance 㩆㦲坴岮
Asset Management 岮䔉䮈䏭
2.09
Accounting 㛪姯
2.10
Legal Services 㲼⽲Ṳ⋀
2.14
Unemployed ⽬㥔
2.15
Other ⅝ẽƋPlease specify 媲娢㗵
2.11 Insurance ῄ暑
ƌ
3) Work Experience ⷌὃ䵺樾
3.01
< 1 year ⹛
3.02
1-4 years ⹛
3.03
5-10 years ⹛
11-15 years ⹛
3.05
ơ 15 years ⹛
300-499 employees Ⓢⷌ
4.04
500+ employees Ⓢⷌ
5.03
Evening Course 㙁敺媙䧲
3.04
4) Firm Size 㩆㦲奶㨈
4.01
< 100 employees Ⓢⷌ
4.02
100-299 employees Ⓢⷌ
4.03
5) I know about this course / event from HKSI Institute’ s 㜓ạ⾅⭟㛪Ọᷲ忻⽸⽾ば媙䧲ㇽ㴢⊼岮㖀
5.01
Website 䶙柨
5.02
Office 徍Ṳ嘼
5.04
Events 㴢⊼
5.05
Others ⅝ẽƋPlease specify 媲娢㗵
ƌ
6) I wish to receive latest news from HKSI Institute 㜓ạⷳ㜂㔝∗⭟㛪䙫㛧㖗㵯ざƋYou can choose MORE THAN ONE ⏖ὃ⤁柬恟㒮ƌ
7)
6.01
All Promotional ㈧㛰㎏⻊岮㖀
6.04
Events 㴢⊼
6.05 Executive
6.02 Continuous
Professional Training Programmes 媙䧲
Development Programmes 堳㔦ạⓈ⟠姺
6.06 Member
6.03
Examinations 俪婍
News & Members Only Events 㛪Ⓢ姱ざ⎱㛪Ⓢ⯯Ẓ㴢⊼
I do not wish to receive any forthcoming information related to HKSI Institute. Excepted for the above selected item(s)
㜓ạᷴⷳ㜂㔝∗ỢἼ㛰旃⭟㛪䙣⇡Ḳ岮㖀Ə晋Ọᷱⷙ恟㒮Ḳ柬䛕˛
(10/2014)
P.T.O. 妉帇⹊暿
第三部份 Course Application 申請課程
Get 3 $100 HKSI Institute coupons by attending 3 or more CPT courses held from September to December 2016
報讀 3 個或以上由 2016 年 9 月至 12 月舉辦的課程，
月舉辦的課程，可獲得 3 張$100 的學會優惠券
Part 3
Course Code
課程編號
Course Title
TPPFR16004302
Part 4
.
課程名稱
Course Date
課程日期 (DD/MM/YYYY)
費用
DCASS Course 2 - DCASS Operation Training (TPPFR16004302)
Total HK$
第四部份 Payment Method 付款方式
Cheque
Fee
支票 (Cheque No. 支票號碼: ___________________)
(Please make payable to "Hong Kong Securities and Investment Institute"
Cash 現金
EPS 易辦事
支票抬頭請付予 "香港證券及投資學會")
-
Amex Card
-
Union Pay
銀聯卡*
For official use only
學會專用
Approval Code
-
VISA / Master
-
-
*Union Pay Card
(*ONLY accepted payment at the HKSI Institute’s Counter /
Cardholder Signature
持卡人簽署:
_____________________
(This signature must correspond with the signature on the credit card
*Cardholder’s Name
持卡人姓名:
銀聯卡服務只限於本學會櫃檯付款)
此簽署必須與信用卡相同)
_____________________
*Cardholder MUST BE the participant; otherwise HKSI Institute will reject the application
Statement on Collection of Personal Data
1.
2.
3.
1.
2.
3.
Expiry Date
有效日期 :
_________ (MM/YY)
持卡人必須為申請者本人, 否則本會將不接受申請
收集個人資料聲明
It is necessary for applicants to supply their personal data and to provide all the information requested in the application documents, where applicable, as otherwise the
Institute may be unable to process and consider their application.
The personal data provided in this form will be used for processing your application for admission, registration, academic and administrative communication, research
statistical and marketing (Including direct marketing) purposes. In all such circumstances, please be assured that any personal information you supply will be strictly
confidential.
The Institute will send urgent messages to participant via email and supplemented by other means such as Short Message Services (SMS). It is therefore important that
the email address and mobile phone of the applicant are accurate. Any change should be reported to HKSI Institute immediately. Those who have genuine difficulty in
receiving urgent message via email/SMS should contact HKSI Institute for separate arrangements.
申請人必須提供其個人資料及足夠課程申請所需資料，否則本學會不能有效處理閣下之申請。
在法律許可情況下，個人資料將會作為報讀申請、註冊、有關學術及行政通訊、研究、統計、市場分析及推廣（包括直接銷售）等用途。閣下提供的所有個人資料將絕對
保密。
在緊急情況下，學會將向申請人發放電郵，或在有需要時附以其他方式，例如短訊以作通知。請準確填寫有關資料以便聯絡。如有任何更改，請盡快通知學會提出更新。
閣下如對接收電子郵件或電話短訊通知遇有困難，請聯絡本會，以便作出適當安排。
Applicant's Declaration
申請人聲明
I hereby declare that the information I provided in this application form is complete and correct.
I have read the general notes and agree to abide by the notes mentioned.
本人謹此聲明在本申請表格中所填報之資料均屬正確無訛。本人已閱讀『申請須知』，並完全同意及遵守有關事項。
Signature of Applicant
申請人簽署:
______________________
Date
日期:
_____________________
Hong Kong Securities and Investment Institute Room 510, 5/F, Wing On Centre, 111 Connaught Road Central, H.K.
香港證券及投資學會
Hotline
熱線：(852) 3120 6100
Fax
傳真：(852) 2899 2611
Website
網址：www.hksi.org
香港干諾道中 111 號永安中心5 樓510 室
Email 電郵：[email protected]
Notes
申請須知
1.
Please send your completed enrolment form(s) together with the appropriate course fee to the HKSI by fax, mail, e-mail or in person
before the closing date. Online registration is also available on www.hksi.org . No telephone reservations will be entertained. Applicants
who wish to enjoy Corporate/Individual Member Fee must provide relevant information at the time of application. Otherwise,
Non-member Fee shall be charged and the fee difference will not be refunded.
請將填妥的報名表格連同適當的課程學費，於課程截止報名日期前 親身、傳真、電郵或郵寄至香港證券及投資學會。
申請人亦可於網上報名，所有課程不接受電話留位。 申請人如欲享有機構/個人會員課程學費之優惠，在申請時必須提
供有關資料，否則本會將收取非會員課程學費之金額。課程費用之差額亦將概不退還。
2.
Enrolment will only be confirmed upon receipt of payment. Any enrolment forms without appropriate payments will be rejected by the
HKSI. Application indicating payment by cheque will not be processed without attachment of a cheque. Applicants who would like to pay
by cheque, please make payable to “Hong Kong Securities and Investment Institute”. Post dated cheque will not be accepted and cash
should not be sent through mail.
報名表格必須連同適當學費遞交，學會才會確認該申請。其餘申請，學會一概不會接受。如欲以支票繳付學費者，報名
表格必須連同支票一併遞交，支票抬頭請付予 “香港證券及投資學會”，本學會概不接受期票，否則其課程申請將不獲受
理。請勿郵寄現金至本學會付款。
3.
An electronic confirmation letter will be issued to participants via e-mail accordingly. Applicants who do not receive electronic
notifications 3 working days before course commencement date should contact Education & Development Department at (852) 3120
6100. Applicants will be informed via e-mail if there is any change to the courses.
確認通知書會以電郵方式通知申請者，申請人如在開課前三個工作天尚未收到通知，請致電 (852) 3120 6100 或電郵
[email protected] 與學會持續培訓部聯絡。課程如有任何更改，學會將透過電郵通知。
4.
Applicants must read regulation conditions and agree to abide by them before submitting enrolment form.
申請者在遞交報名表格前，必須細閱課程守則，並同意及遵守其規條。
5.
Refund/Substitutions:
 Refund is not considered.
 Once accepted to the enrolled course, participant cannot transfer to another course.
 Program fees paid are non-refundable and non-transferable irrespective of individual’s attendance status, with the exception of
unsuccessful application due to full enrolment or program cancellation.
The HKSI reserves the right to cancel programs due to under-enrolment and registrants will be notified individually for refund
arrangement. (Note: The refund will be payable to the registrants concerned in Hong Kong dollars within 28 FULL WORKING DAYS after
program commencement date. The refund will be made via cheque for fees received via cash, cheque, union pay or EPS. For fees
received via credit card, refund will be made to the same credit card account that is used to pay the registration fees.)
退還課程費用/學額轉讓﹕
 課程費用概不退還。
 一經取錄，學員不得轉讀其他課程。
 除課程額滿或課程被取消外，學員已繳之學費﹝不論有否出席﹞均不予退還或轉用於另一課程。
本學會有權因報名人數不足而決定取消課程。受影響的學員將獲個別通知安排退款事宜。(備註:退款一般可於課程開
課日起 28 個工作日內退回給申請人；申請人如以現金、支票、易辦事或銀聯付款，學會將會以支票形式退還款項予
申請人士。申請人如以信用卡支付學會將會安排退款予申請人士在報名申請時使用的相同信用卡號碼之戶口內。)
6.
Personal data supplied in this enrollment form will be used only for purposes relating to enrolling / and attending the HKSI Institute
training programs. HKSI Institute reserves the right to inspect personal identity of attendees.
本申請表上提供的個人資料，僅供作處理有關報讀/及出席本學會課程事宜之用。本學會保留檢查出席課程人士之身份
證明之一切權利。
7.
Seats are limited and enrolments will be processed on a first-come-first-served basis.
由於名額有限，報名以先到先得方式進行。
8.
Hong Kong Securities and Investment Institute reserves the right on the following:
 To change or cancel any of its courses due to unforeseen circumstances.
 To ask improperly behaved participants to leave the course. No refund/CPT or CPD hour(s) will be considered under this circumstance.
香港證券及投資學會保留以下權利:
 在不可預期的情況下，本會有權更改或取消任何課程。
 申請人如在上課期間作出不當行為，本會有權要求申請人退出課程。而申請人課堂之費用及其 CPT 或 CPD 小時將不
獲發回。
9.
By participating in the HKSI Institute training programme(s), you understand that portions of the programme(s) may be recorded in video
and audio and/or captured in still and/or digital photographs; and you hereby grant HKSI Institute the right and permission to use in
perpetuity your photographic images, voice, and/or testimonial(s), for the purpose of advertising and publicizing the HKSI Institute
training courses and services. HKSI Institute owns all rights, title and interest, including intellectual property rights, in any audio, video,
and/or photograph captured during the training course(s)
本學會可能在某些課程中，會進行拍攝、錄影或/及錄音，而閣下在此授予本學會權利和許可，以永久使用持有閣下的
影像，語音或/及見證，作為廣告、宣傳學會課程和事務之用途。香港證券及投資學會在課程中所記錄的任何音頻、視
頻或/及照片擁有所有權利、權益，包括知識產權。
10.
Bad Weather Arrangement
No training classes will be held when typhoon signal No.8 or above/Black Rainstorm Warning is in force.
 Full day or Morning classes will resume if the signal is lowered at/before 7:00am.
 Afternoon classes will resume if the signal is lowered at/before 12:00noon.
 Evening classes will resume if the signal is lowered at/before 3:00pm.
惡劣天氣特別安排
當 8 號或以上之強風訊號或黑色暴雨訊號懸掛，所有課程將會被取消。
 如訊號在上午 7 時正或之前除下，當日的課程將如常舉行。
 如訊號在中午 12 時正或之前除下，當日下午的課程將如常舉行。
 如訊號在下午 3 時正或之前除下，當日晚上的課程將如常舉行。