The Tri-Party Collateral Agreement is essential for financial institutions engaging in securities financing, derivatives trading, and other collateralized transactions under Irish law. It establishes a legal and operational framework where a neutral third party (the tri-party agent) manages collateral on behalf of a collateral provider and collateral taker. This arrangement optimizes collateral usage, reduces operational risk, and ensures compliance with regulatory requirements. The document incorporates Irish legal requirements and European Union regulations, particularly the Financial Collateral Arrangements Regulations and Central Securities Depositories Regulations. It is commonly used in repo markets, securities lending, and derivatives trading where efficient collateral management is crucial for risk mitigation and regulatory compliance.
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1. Parties: Identifies and defines the three main parties: Collateral Provider, Collateral Taker, and Tri-Party Agent
2. Background: Sets out the context of the agreement and the parties' intentions
3. Definitions and Interpretation: Defines key terms and establishes interpretation principles
4. Appointment and Role of Tri-Party Agent: Details the appointment, authority, and responsibilities of the tri-party agent
5. Collateral Requirements: Establishes basic principles for eligible collateral, valuation, and margin requirements
6. Custody and Safekeeping: Outlines the arrangements for holding and safeguarding collateral
7. Substitution and Optimization: Describes processes for collateral substitution and optimization
8. Instructions and Communications: Details how parties will communicate and give instructions
9. Representations and Warranties: Contains standard and specific representations and warranties from each party
10. Default and Enforcement: Defines events of default and enforcement procedures
11. Fees and Expenses: Sets out fee arrangements and responsibility for expenses
12. Liability and Indemnification: Establishes liability limitations and indemnification obligations
13. Term and Termination: Specifies duration, renewal, and termination provisions
14. Confidentiality: Contains confidentiality obligations and permitted disclosures
15. General Provisions: Includes standard boilerplate clauses like notices, amendments, governing law
1. Regulatory Compliance: Additional section when parties are subject to specific regulatory requirements
2. Tax Provisions: Detailed tax provisions when cross-border elements or specific tax implications exist
3. Service Levels: Specific service level requirements when parties want detailed performance metrics
4. Business Continuity: Detailed business continuity provisions for critical service arrangements
5. Data Protection: Extended data protection provisions when personal data processing is involved
6. Force Majeure: Detailed force majeure provisions when required by specific circumstances or jurisdictions
1. Schedule 1 - Eligible Collateral and Haircuts: Detailed list of acceptable collateral types and applicable haircuts
2. Schedule 2 - Operating Procedures: Detailed operational procedures, cut-off times, and processing requirements
3. Schedule 3 - Fee Schedule: Detailed breakdown of fees and charges
4. Schedule 4 - Service Levels: Specific service level requirements and metrics
5. Schedule 5 - Forms of Notice: Standard forms for instructions, notices, and other communications
6. Schedule 6 - Authorized Persons: List of authorized signatories and contact persons
7. Schedule 7 - Account Details: Details of relevant accounts and settlement instructions
8. Appendix A - Glossary: Extended glossary of technical and market terms
9. Appendix B - Security Agreement Form: Standard form of security agreement if required
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