The Stock Loan Agreement is a fundamental document in securities financing transactions under Australian law, enabling market participants to temporarily transfer securities in exchange for collateral. This agreement is essential for various market activities including short selling, settlement coverage, and yield enhancement strategies. It incorporates requirements from Australian financial services regulations, tax laws, and market practices while aligning with international standards for securities lending. The document is typically used by financial institutions, asset managers, and broker-dealers operating in Australian markets, providing a comprehensive framework for securities lending transactions including loan terms, collateral requirements, corporate action treatments, and default procedures.
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1. Parties: Identification of the lender and borrower, including registration details and addresses
2. Background: Context of the agreement and general purpose of the stock lending arrangement
3. Definitions and Interpretation: Key terms used throughout the agreement and rules of interpretation
4. Loan of Securities: Core provisions regarding the lending and borrowing of securities
5. Delivery of Securities: Procedures and timing for delivering securities between parties
6. Collateral Requirements: Types of acceptable collateral, valuation methods, and maintenance requirements
7. Rights and Obligations: Ongoing responsibilities of both parties during the loan period
8. Income Payments and Corporate Actions: Treatment of dividends, rights issues, and other corporate events
9. Fees and Charges: Lending fees, payment terms, and other applicable charges
10. Tax Provisions: Tax obligations, withholding requirements, and gross-up provisions
11. Events of Default: Circumstances constituting default and consequences
12. Termination: Process for ending the agreement and returning securities
13. Representations and Warranties: Standard assurances from both parties
14. Indemnification: Protection against losses and liability provisions
15. General Provisions: Standard boilerplate clauses including notices, amendments, and governing law
1. Market Disruption: Provisions dealing with market disruption events - include for volatile markets or sensitive securities
2. Securities Revaluation: Specific provisions for regular revaluation of securities - include for complex or volatile securities
3. Agency Provisions: Additional provisions when either party acts as agent - include when dealing with custodians or asset managers
4. Rehypothecation Rights: Rights to reuse borrowed securities - include if rehypothecation is permitted
5. Foreign Securities Provisions: Special provisions for international securities - include when dealing with non-Australian securities
6. Electronic Trading Platform: Provisions relating to electronic trading systems - include if using specific trading platforms
7. Set-off Rights: Additional set-off provisions - include for complex institutional relationships
1. Schedule 1 - Eligible Securities: List of securities eligible for lending under the agreement
2. Schedule 2 - Approved Collateral: Types and characteristics of acceptable collateral
3. Schedule 3 - Fee Schedule: Detailed breakdown of all applicable fees and charges
4. Schedule 4 - Operating Procedures: Detailed procedures for loans, recalls, and settlements
5. Schedule 5 - Form of Loan Confirmation: Standard form for confirming individual loan transactions
6. Schedule 6 - Contact Details: List of authorized personnel and contact information
7. Appendix A - Standard Settlement Instructions: Banking and settlement details for both parties
8. Appendix B - Tax Documentation: Required tax forms and documentation
Relevant legal definitions
Clauses
Relevant Industries
Banking
Financial Services
Investment Management
Securities Trading
Asset Management
Hedge Funds
Pension Funds
Broker-Dealers
Insurance
Relevant Teams
Legal
Compliance
Trading
Operations
Risk Management
Securities Lending
Collateral Management
Treasury
Investment
Documentation
Settlement
Credit Risk
Portfolio Management
Relevant Roles
Securities Lending Trader
Collateral Manager
Legal Counsel
Risk Manager
Operations Manager
Compliance Officer
Portfolio Manager
Trading Director
Securities Operations Officer
Investment Officer
Documentation Specialist
Credit Risk Analyst
Chief Investment Officer
Treasury Manager
Settlement Officer
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