The Securities Lending Agreement serves as the primary contractual framework for securities lending transactions in the German market, enabling financial institutions to temporarily transfer securities while maintaining economic benefits of ownership. This document is essential when parties wish to engage in securities lending activities under German law, whether for short selling, covering settlement failures, or generating additional revenue from securities holdings. The agreement incorporates specific German legal requirements, including provisions from the Securities Trading Act (WpHG) and Banking Act (KWG), while also adhering to EU regulations such as SFTR. It details all aspects of the lending relationship, including loan initiation, collateral management, corporate actions, default procedures, and regulatory compliance requirements. The agreement is typically used by financial institutions, investment firms, and institutional investors operating in or dealing with German market participants.
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1. Parties: Identification of the lender and borrower, including their legal status and registered addresses
2. Background: Context of the agreement and general purpose of the securities lending arrangement
3. Definitions and Interpretation: Definitions of key terms and interpretation rules, including German law-specific terminology
4. Loans of Securities: Core provisions governing the lending and borrowing of securities, including loan mechanics and procedures
5. Delivery and Redelivery: Procedures and requirements for the delivery and return of loaned securities
6. Collateral Requirements: Provisions regarding posting, maintaining, and returning collateral, including eligible collateral types
7. Margin Maintenance: Rules for calculating and maintaining margin requirements, including mark-to-market procedures
8. Income and Corporate Actions: Treatment of dividends, interest, and other corporate actions affecting loaned securities
9. Tax Provisions: Treatment of tax matters, including withholding tax and manufactured payments
10. Representations and Warranties: Standard and transaction-specific representations and warranties of both parties
11. Events of Default: Definition of events of default and their consequences
12. Close-out and Set-off: Procedures for early termination and settlement following an event of default
13. Notices: Requirements for giving notices under the agreement
14. Governing Law and Jurisdiction: Confirmation of German law as governing law and jurisdiction provisions
1. Agency Lending: Additional provisions for when lending is conducted through an agent - include when either party acts as agent
2. Automatic Contract Generation: Provisions for electronic trading and automated loan generation - include for electronic trading platforms
3. Third-Party Service Providers: Provisions regarding the use of triparty agents or other service providers - include when using third-party services
4. Securities Pooling: Provisions for pooled lending arrangements - include for pool-based lending programs
5. Central Counterparty Provisions: Additional terms for CCP-cleared transactions - include when using central clearing
6. Data Protection: Detailed GDPR compliance provisions - include when personal data processing is involved
7. Non-Cash Collateral Special Provisions: Additional terms for specific types of non-cash collateral - include when accepting non-cash collateral
1. Schedule A - Eligible Securities: List of securities eligible for lending under the agreement
2. Schedule B - Eligible Collateral: Types of acceptable collateral and associated haircuts
3. Schedule C - Operating Procedures: Detailed operational procedures for loans and returns
4. Schedule D - Fee Schedule: Lending fees, rebate rates, and other economic terms
5. Schedule E - Forms and Notices: Standard forms for borrowing requests, recalls, and other notices
6. Schedule F - Authorized Persons: List of authorized traders and signatories
7. Appendix 1 - Tax Documentation: Required tax forms and documentation
8. Appendix 2 - Settlement Instructions: Standard settlement and account details
9. Appendix 3 - Jurisdictional Requirements: Specific German regulatory requirements and disclosures
Authors
Relevant legal definitions
Clauses
Relevant Industries
Banking
Investment Management
Asset Management
Securities Trading
Broker-Dealers
Insurance
Pension Funds
Hedge Funds
Financial Services
Investment Banking
Relevant Teams
Legal
Compliance
Trading
Risk Management
Operations
Securities Operations
Collateral Management
Treasury
Portfolio Management
Settlement
Regulatory Reporting
Financial Control
Relevant Roles
Securities Lending Trader
Legal Counsel
Compliance Officer
Risk Manager
Portfolio Manager
Operations Manager
Collateral Manager
Trading Desk Manager
Securities Operations Officer
Investment Officer
Treasury Manager
Financial Controller
Regulatory Reporting Officer
Settlement Officer
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