CCASS Training Course Series : Course 5 - Fails and Risk Management

CCASS Training Course Series : Course 5 - Fails and Risk Management


Central Clearing and Settlement System (CCASS) is a securities settlement system used within the Hong Kong Exchanges and Clearing Limited (HKEX) market system. To enable the participants to effectively use the CCASS, HKEX has developed 5 courses to equip them with the basic knowledge of the clearing and settlement operations of the securities clearing house.

Course 1 – Understanding of Securities Clearing and Settlement
Course 2 – Clearing and Settlement (Part I)
Course 3 – Clearing and Settlement (Part II)
Course 4 – Depository and Nominee System (DNS)
Course 5 – Fails and Risk Management

This course mainly focuses on risk management, fails management and common collateral management system.


1. Risk Management (such as guarantee fund, marks, margin, MSTD, MSCD)
2. Fails Management
3. Common Collateral Management System (CCMS)

Who should attend

Responsible officers, operations staff (in particular back office settlement staff), sales staff and account executives of brokerage firms.


  • Priority will be given to Exchange Participants of HKEx and those applying to attend all courses.
  • If any course(s) is/are cancelled due to inadequate enrolment, the participant can choose to transfer to the next intake or a refund.
  • The Hong Kong Exchanges and Clearing Limited (“HKEx”) Participant can attend the course at the discounted fee, i.e. the lower course fee as HKSI Member or staff of HKSI Corporate Member. 

Ways to get discount:

     - Simply enrol online (with the normal course fee)
     - On the day of the training course:
        1. bring your business card and the HKEx Participant ID number
        2. fill in a simple form and return to HKSI Institute


Date & Time
Wednesday, 31 Jan 2018 (2:30PM - 5:30PM)
HKSI Institute Training Centre
All Member: HK$630
Non-Member: HK$1260
Staff of Corporate Member: HK$630