The Securities Lending Agreement serves as the primary contractual framework for financial institutions engaging in securities lending transactions under Dutch law. This document is essential when parties wish to establish a recurring lending relationship where securities are temporarily transferred from lender to borrower against collateral. The agreement incorporates requirements from Dutch financial regulations, including the Financial Supervision Act (Wft) and the Financial Collateral Arrangements Act, while also adhering to EU regulations such as SFTR. It details operational procedures, risk management requirements, and legal safeguards necessary for securities lending activities in the Dutch market. The agreement is typically used by financial institutions, investment firms, and asset managers operating in or from the Netherlands, providing them with a robust legal framework for their securities lending operations.
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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: Comprehensive list of defined terms and interpretation rules used throughout the agreement
4. Loans of Securities: Core provisions governing the lending and borrowing of securities, including initiation process and confirmation requirements
5. Transfer of Securities: Mechanics and requirements for the transfer of securities between parties
6. Collateral Requirements: Provisions regarding the posting, maintenance, and return of collateral, including margin requirements
7. Marking to Market: Procedures for daily valuation of loaned securities and collateral, including margin calls
8. Income and Corporate Actions: Treatment of dividends, interest, rights issues and other corporate actions affecting the loaned securities
9. Tax: Provisions dealing with tax implications, withholding requirements, and tax-related indemnities
10. Fees and Charges: Lending fees, payment terms, and other charges applicable under the agreement
11. Representations and Warranties: Standard and specific representations and warranties given by each party
12. Events of Default: Definition of events of default and their consequences
13. Termination: Provisions for termination of the agreement and individual loans, including close-out procedures
14. Set-off Rights: Rights of set-off between the parties and conditions for their exercise
15. Governing Law and Jurisdiction: Specification of Dutch law as governing law and jurisdiction for disputes
1. Agency Lending: Required when one party acts as agent for multiple principals in securities lending transactions
2. Custody Arrangements: Needed when involving third-party custodians in the transaction structure
3. Special Custody Requirements: For specific types of securities requiring special custody arrangements
4. Central Counterparty Provisions: Required when transactions are cleared through a central counterparty
5. Automated Trading Systems: Provisions for using electronic trading platforms or automated systems
6. Additional Tax Provisions: Required for cross-border transactions or specific tax treatment scenarios
7. Non-Cash Collateral: Specific provisions for when securities or other non-cash assets are used as collateral
1. Schedule 1 - Eligible Securities: List of securities eligible for lending under the agreement
2. Schedule 2 - Eligible Collateral: Types of acceptable collateral and applicable haircuts
3. Schedule 3 - Fee Schedule: Detailed breakdown of fees and charges
4. Schedule 4 - Operating Procedures: Detailed operational procedures including settlement instructions and cut-off times
5. Schedule 5 - Form of Loan Confirmation: Standard form for confirming individual securities loans
6. Schedule 6 - Contact Details: Contact information for notices, operations, and escalations
7. Schedule 7 - Tax Documentation: Required tax forms and documentation
8. Appendix A - Standard Settlement Instructions: Detailed settlement and payment instructions for both parties
Relevant legal definitions
Clauses
Relevant Industries
Banking
Investment Management
Asset Management
Securities Trading
Hedge Funds
Pension Funds
Insurance
Financial Services
Investment Banking
Capital Markets
Relevant Teams
Legal
Compliance
Securities Operations
Risk Management
Trading
Portfolio Management
Collateral Management
Treasury
Financial Control
Regulatory Reporting
Investment Operations
Transaction Management
Securities Services
Relevant Roles
Legal Counsel
Securities Operations Manager
Compliance Officer
Risk Manager
Trading Desk Manager
Portfolio Manager
Collateral Manager
Securities Lending Trader
Operations Director
Chief Legal Officer
Head of Trading
Investment Manager
Treasury Manager
Financial Controller
Regulatory Reporting Officer
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