The Security Lending Agreement serves as the primary contractual framework for securities lending transactions in the Canadian market. It is essential for financial institutions, investment firms, and asset managers engaging in securities lending activities, providing a structured approach to temporary transfer of securities against collateral. The agreement ensures compliance with Canadian federal and provincial securities regulations, incorporating requirements from relevant regulatory bodies such as IIROC and provincial securities commissions. This document is typically used when establishing ongoing securities lending relationships, covering aspects from transaction mechanics to risk management, and including specific provisions for Canadian tax implications and reporting requirements. The Security Lending Agreement is particularly important given the sophisticated nature of the Canadian securities market and its interconnections with global financial markets.
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1. Parties: Identifies and provides details of the lender and borrower entering into the agreement
2. Background: Sets out the context of the agreement and the parties' intentions to enter into securities lending transactions
3. Definitions: Defines key terms used throughout the agreement for clarity and consistency
4. Loans of Securities: Establishes the basic terms and conditions for securities lending transactions
5. Transfer of Securities: Details the procedures and requirements for transferring securities between parties
6. Collateral Requirements: Specifies the types, amounts, and maintenance of collateral required for loans
7. Mark to Market: Outlines the process for daily valuation of loaned securities and collateral
8. Income Payments and Corporate Actions: Addresses the handling of dividends, interest, and other corporate actions
9. Rights and Obligations: Details the ongoing responsibilities and rights of both parties
10. Events of Default: Defines circumstances constituting default and consequences
11. Set-off Rights: Establishes rights to set off obligations between parties
12. Representations and Warranties: Contains standard declarations about parties' capacity and authority
13. Tax Provisions: Addresses tax implications and responsibilities
14. Termination: Specifies conditions and procedures for terminating the agreement or individual loans
15. Governing Law and Jurisdiction: Specifies applicable law and jurisdiction for dispute resolution
1. Agency Lending: Required when one party acts as an agent for multiple principals
2. Tri-Party Arrangements: Needed when using a tri-party collateral agent
3. Electronic Trading Platform: Required when transactions will be conducted through specific trading platforms
4. Securities Lending Fee Split: Used when intermediaries are involved and fee sharing arrangements need to be documented
5. Cross-Border Provisions: Required for international lending arrangements
6. Central Counterparty Provisions: Needed when transactions will be cleared through a CCP
7. Sovereign Immunity: Required when dealing with sovereign entities
1. Schedule A - Eligible Securities: Lists types of securities eligible for lending under the agreement
2. Schedule B - Eligible Collateral: Specifies acceptable forms of collateral and applicable haircuts
3. Schedule C - Authorized Persons: Lists individuals authorized to conduct transactions under the agreement
4. Schedule D - Standard Settlement Instructions: Contains account and settlement details for transfers
5. Schedule E - Fee Schedule: Details the lending fees and other charges
6. Schedule F - Tax Documentation: Contains required tax forms and documentation
7. Schedule G - Forms of Notices: Standard forms for various notices required under the agreement
8. Appendix 1 - Operational Procedures: Detailed procedures for daily operations and communications
9. Appendix 2 - Jurisdictional Requirements: Specific requirements for different jurisdictions if applicable
Relevant legal definitions
Clauses
Relevant Industries
Financial Services
Banking
Investment Management
Insurance
Pension Funds
Asset Management
Securities Trading
Wealth Management
Investment Banking
Institutional Investment
Relevant Teams
Legal
Compliance
Risk Management
Securities Operations
Trading
Collateral Management
Treasury
Investment Operations
Regulatory Reporting
Credit Risk
Documentation
Securities Finance
Middle Office
Settlement
Client Services
Relevant Roles
Securities Lending Trader
Legal Counsel
Compliance Officer
Risk Manager
Operations Manager
Portfolio Manager
Collateral Manager
Trading Desk Manager
Securities Operations Specialist
Regulatory Reporting Officer
Treasury Manager
Investment Officer
Credit Risk Analyst
Securities Finance Director
Legal Documentation Specialist
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