The Tri Party Collateral Agreement is a sophisticated legal instrument used in Hong Kong's financial markets to facilitate secure collateral management arrangements. It is typically employed when parties require a neutral third-party custodian to hold and manage collateral assets, ensuring proper segregation and reducing counterparty risk. The agreement is essential for financial institutions engaging in securities lending, derivatives trading, secured financing, or other transactions requiring collateral arrangements. It must comply with Hong Kong's Securities and Futures Ordinance, Banking Ordinance, and other relevant financial regulations. The document details comprehensive operational procedures, including collateral eligibility, valuation methods, transfer mechanisms, and default management, while clearly defining the roles and responsibilities of all parties involved.
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1. Parties: Identifies and defines the three main parties: Collateral Provider, Collateral Taker, and Custodian
2. Background: Sets out the context of the agreement and the relationship between the parties
3. Definitions and Interpretation: Defines key terms and establishes interpretation principles
4. Appointment of Custodian: Formal appointment and acceptance of the custodian's role
5. Custody Arrangements: Details of how collateral will be held and segregated
6. Collateral Requirements: Specifications for eligible collateral, valuation methods, and maintenance requirements
7. Transfer and Substitution of Collateral: Procedures for delivering, withdrawing, and substituting collateral
8. Rights and Obligations: Core responsibilities of each party
9. Instructions and Communications: Procedures for giving and acting on instructions
10. Fees and Expenses: Custodian's fees and allocation of costs
11. Default Events: Definition of events of default and consequences
12. Enforcement: Rights and procedures following an event of default
13. Liability and Indemnity: Allocation of risks and indemnification obligations
14. Representations and Warranties: Standard and specific representations by each party
15. Term and Termination: Duration of agreement and termination provisions
16. Miscellaneous: Standard boilerplate provisions including notices, amendments, governing law
1. Security Interest: Required when a separate security interest needs to be created over the collateral
2. Tax Provisions: Include when tax implications need specific addressing, particularly for cross-border arrangements
3. Regulatory Compliance: Added when specific regulatory requirements need detailed coverage
4. Sub-Custodian Provisions: Include when sub-custodians may be appointed
5. Electronic Trading Platform: Required when collateral management involves specific trading platforms
6. Multiple Currency Provisions: Include when collateral may be denominated in multiple currencies
7. Rehypothecation Rights: Include when collateral taker has rights to reuse collateral
8. Force Majeure: Detailed force majeure provisions where market standard provisions insufficient
1. Eligible Collateral Schedule: Detailed list of acceptable collateral types and their characteristics
2. Valuation Procedures: Detailed methodology for valuing different types of collateral
3. Operating Procedures: Detailed operational procedures for custodian services
4. Fee Schedule: Detailed breakdown of custodian fees and charges
5. Form of Notices: Standard forms for various notices under the agreement
6. Security Interest Documentation: Forms and procedures related to security interest creation
7. Authorized Persons: List of persons authorized to give instructions for each party
8. Service Level Agreement: Detailed service standards and performance metrics for custodian
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