The Collateral Control Agreement is essential in secured financing transactions where a third-party collateral manager is appointed to take custody and control of collateral assets on behalf of a lender. This agreement is particularly relevant in Australia where secured transactions are governed by the Personal Property Securities Act 2009 (Cth) and related legislation. It is commonly used in trade finance, commodity financing, and general secured lending arrangements where physical or financial assets are provided as security. The agreement details the operational procedures for collateral maintenance, monitoring, and reporting, while establishing clear lines of authority and responsibility between the parties. It includes specific provisions for the Australian context, such as PPSA compliance requirements, and addresses local legal and regulatory considerations for perfection of security interests.
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1. Parties: Identifies the key parties: typically the Lender, Borrower, and Collateral Manager
2. Background: Sets out the context of the agreement, including reference to the primary facility agreement and purpose of the collateral arrangement
3. Definitions and Interpretation: Defines key terms and establishes interpretation principles
4. Appointment of Collateral Manager: Sets out the formal appointment and acceptance of the collateral manager's role
5. Collateral Management Services: Details the core services to be provided by the collateral manager
6. Control of Collateral: Establishes the mechanisms for control and custody of the collateral
7. Instructions and Communications: Procedures for giving and receiving instructions between parties
8. Reporting Requirements: Specifies the reports required from the collateral manager and their frequency
9. Fees and Expenses: Details the fee structure and reimbursement of expenses
10. Representations and Warranties: Standard representations and warranties from each party
11. Security Interest and Priority: Confirms the security interest and its priority
12. Liability and Indemnification: Sets out liability limitations and indemnification obligations
13. Term and Termination: Duration of the agreement and termination provisions
14. Governing Law and Jurisdiction: Specifies applicable law and jurisdiction for disputes
15. General Provisions: Standard boilerplate clauses including notices, amendments, and assignment
1. Insurance Requirements: Required when specific insurance coverage needs to be maintained for the collateral
2. Sub-custody Arrangements: Needed when the collateral manager may need to appoint sub-custodians
3. Electronic Systems and Access: Required when parties will use specific electronic systems for monitoring or reporting
4. Foreign Exchange Provisions: Needed when collateral involves multiple currencies
5. Voting Rights: Required when collateral includes securities with voting rights
6. Income Collection and Distribution: Needed when collateral generates income that needs to be collected and distributed
7. Special Custody Arrangements: Required for unique or complex collateral types requiring special handling
8. Force Majeure: Optional expanded provision for specific industry or geographic risks
1. Schedule 1 - Collateral Description: Detailed description of the collateral assets and their specifications
2. Schedule 2 - Fee Schedule: Detailed breakdown of fees and payment terms
3. Schedule 3 - Operational Procedures: Detailed procedures for handling, monitoring, and reporting on collateral
4. Schedule 4 - Authorized Persons: List of authorized persons who can give instructions for each party
5. Schedule 5 - Form of Reports: Templates and formats for required reports
6. Schedule 6 - Service Levels: Specific service level requirements and metrics
7. Appendix A - Communication Protocols: Detailed protocols for communications between parties
8. Appendix B - Security Procedures: Security procedures for handling and protecting collateral
Relevant legal definitions
Clauses
Relevant Industries
Banking & Finance
Commodities Trading
Trade Finance
Manufacturing
Warehousing & Logistics
Agriculture
Mining & Resources
Commercial Real Estate
Investment Management
Asset Management
Relevant Teams
Legal
Finance
Treasury
Risk Management
Compliance
Operations
Credit
Trade Finance
Portfolio Management
Security & Collateral Management
Transaction Management
Relevant Roles
Chief Financial Officer
Treasury Manager
Risk Manager
Compliance Officer
Legal Counsel
Finance Director
Credit Manager
Collateral Manager
Security Trustee
Facility Agent
Trade Finance Manager
Operations Manager
Portfolio Manager
Asset Manager
Transaction Manager
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