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Collateral Agreement

Collateral Agreement Template for Austria

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Key Requirements PROMPT example:

Collateral Agreement

"I need a Collateral Agreement under Austrian law for a financial institution providing security over a portfolio of listed securities, with the agreement to take effect from March 1, 2025, and including specific provisions for margin calls and substitution rights."

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Document background
The Collateral Agreement serves as a crucial legal instrument in Austrian financial and commercial transactions, providing security for various obligations such as loans, trading exposures, or other financial commitments. This document is essential when parties need to establish legally enforceable security interests over assets under Austrian law, whether in the context of lending arrangements, financial services, or commercial transactions. The agreement must comply with Austrian security interest requirements, including those set out in the ABGB (Austrian Civil Code) and the Financial Collateral Act, particularly regarding perfection and enforcement. It typically includes detailed provisions on the nature and scope of the security interest, valuation and maintenance of collateral, events of default, and enforcement procedures. The document is designed to protect the interests of both the collateral provider and taker while ensuring the security arrangement is effective and enforceable under Austrian law.
Suggested Sections

1. Parties: Identification of the collateral provider, collateral taker, and any other relevant parties

2. Background: Context of the agreement and relationship between the parties

3. Definitions and Interpretation: Definitions of key terms and interpretation rules

4. Secured Obligations: Description of the obligations being secured by the collateral

5. Grant of Security Interest: Creation and nature of the security interest over the collateral

6. Collateral Assets: Description and identification of the assets provided as collateral

7. Perfection Requirements: Steps required to perfect the security interest under Austrian law

8. Representations and Warranties: Statements of fact and assurances by the collateral provider

9. Maintenance of Collateral: Obligations regarding maintenance and preservation of collateral value

10. Rights and Obligations: Detailed rights and obligations of both parties regarding the collateral

11. Enforcement: Circumstances and procedures for enforcing the security interest

12. Governing Law and Jurisdiction: Confirmation of Austrian law governance and jurisdiction

13. Notices: Communication procedures between parties

14. Miscellaneous: Standard boilerplate provisions including severability, amendments, etc.

Optional Sections

1. Margin Requirements: Required for financial collateral arrangements with variable margin requirements

2. Substitution Rights: Include when the collateral provider has the right to substitute collateral assets

3. Income and Voting Rights: Necessary for securities collateral to address dividends and voting rights

4. Control Agreement Provisions: Required when involving third-party custodians or account banks

5. Cross-Default: Optional provisions linking defaults under other agreements

6. Tax Provisions: Detailed tax provisions when tax implications are significant

7. Insurance Requirements: Necessary for physical assets requiring insurance coverage

8. Currency Provisions: Required when dealing with multiple currencies

Suggested Schedules

1. Schedule 1 - Collateral Assets: Detailed description and identification of all collateral assets

2. Schedule 2 - Secured Obligations: Detailed list of secured obligations and their terms

3. Schedule 3 - Perfection Requirements: Specific steps and documentation required for perfection

4. Schedule 4 - Notice Forms: Template forms for various notices required under the agreement

5. Schedule 5 - Valuation Methodology: Methods for valuing different types of collateral assets

6. Appendix A - Account Details: Details of relevant accounts for financial collateral

7. Appendix B - Operating Procedures: Detailed procedures for handling and maintaining collateral

8. Appendix C - Enforcement Procedures: Specific procedures for enforcement under Austrian law

Authors

Alex Denne

Head of Growth (Open Source Law) @ Genie AI | 3 x UCL-Certified in Contract Law & Drafting | 4+ Years Managing 1M+ Legal Documents | Serial Founder & Legal AI Author

Linkedin in social icon imageX social icon image
alex.den.21@genieai.co
Relevant legal definitions
Clauses
Parties and Definitions
Grant of Security Interest
Secured Obligations
Perfection
Representations and Warranties
Covenants
Collateral Maintenance
Valuation
Margin Requirements
Substitution Rights
Income and Distributions
Voting Rights
Events of Default
Enforcement
Power of Attorney
Set-off
Assignment and Transfer
Confidentiality
Notices
Amendments
Severability
Waiver
Costs and Expenses
Indemnification
Force Majeure
Term and Termination
Governing Law
Jurisdiction
Dispute Resolution
Entire Agreement
Relevant Industries

Banking

Financial Services

Insurance

Investment Management

Real Estate

Manufacturing

Energy

Infrastructure

Technology

Telecommunications

Professional Services

Trading

Asset Management

Relevant Teams

Legal

Finance

Risk Management

Treasury

Compliance

Credit

Commercial

Corporate Finance

Banking

Securities

Collateral Management

Transaction Management

Relevant Roles

Legal Counsel

Finance Director

Risk Manager

Treasury Manager

Compliance Officer

Credit Risk Officer

Commercial Director

Security Trustee

Collateral Manager

Transaction Manager

Corporate Lawyer

Banking Lawyer

Chief Financial Officer

Head of Credit

Investment Manager

Portfolio Manager

Industries
Austrian Civil Code (ABGB - Allgemeines bürgerliches Gesetzbuch): Primary source of Austrian private law governing contracts, security interests, and property rights.
Austrian Banking Act (BWG - Bankwesengesetz): Regulates financial collateral arrangements and banking transactions, including specific provisions for financial institutions.
Financial Collateral Act (Finanzsicherheiten-Gesetz): Implements EU Directive 2002/47/EC on financial collateral arrangements, governing financial collateral between institutions.
Austrian Insolvency Code (IO - Insolvenzordnung): Regulates the treatment of collateral in insolvency proceedings and the rights of secured creditors.
Austrian Enforcement Act (EO - Exekutionsordnung): Governs the enforcement of security interests and the realization of collateral.
Securities Deposit Act (DepotG - Depotgesetz): Regulates the custody and administration of securities, relevant for securities used as collateral.
EU Regulation 2015/2365 on Securities Financing Transactions: European regulation on transparency of securities financing transactions, including collateral arrangements.
Austrian Commercial Code (UGB - Unternehmensgesetzbuch): Contains provisions relevant for commercial collateral arrangements between businesses.
Teams

Employer, Employee, Start Date, Job Title, Department, Location, Probationary Period, Notice Period, Salary, Overtime, Vacation Pay, Statutory Holidays, Benefits, Bonus, Expenses, Working Hours, Rest Breaks,  Leaves of Absence, Confidentiality, Intellectual Property, Non-Solicitation, Non-Competition, Code of Conduct, Termination,  Severance Pay, Governing Law, Entire Agreemen

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