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Collateral Management Agreement
"I need a Collateral Management Agreement governed by Austrian law for a private investment fund acting as collateral provider with a major Austrian bank as collateral receiver, with specific provisions for managing both securities and cash collateral, to be effective from March 2025."
1. Parties: Identification of the contracting parties including their full legal names, registration details, and addresses
2. Background: Context of the agreement and relationship between the parties
3. Definitions and Interpretation: Definitions of key terms and interpretation rules, including Austrian law-specific terms
4. Scope and Purpose: Defines the scope of collateral management services and purpose of the agreement
5. Appointment and Authority: Appointment of collateral manager and scope of authority
6. Collateral Requirements: Specifications for eligible collateral types, quality, and quantum
7. Delivery and Settlement: Procedures for delivering, transferring, and settling collateral
8. Valuation: Methods and frequency of collateral valuation, including dispute resolution
9. Margin Calls and Transfers: Processes for margin calls, timing, and transfer requirements
10. Substitution Rights: Rights and procedures for substituting collateral
11. Income and Voting Rights: Treatment of income on collateral and exercise of voting rights
12. Custody and Safekeeping: Requirements for custody and safekeeping of collateral
13. Representations and Warranties: Standard and specific representations and warranties by each party
14. Fees and Expenses: Fee structure and responsibility for expenses
15. Default and Enforcement: Events of default and enforcement procedures compliant with Austrian law
16. Liability and Indemnification: Scope of liability and indemnification obligations
17. Term and Termination: Duration, termination events, and consequences of termination
18. Confidentiality: Confidentiality obligations and permitted disclosures
19. Notices: Communication methods and contact details
20. Governing Law and Jurisdiction: Austrian law as governing law and jurisdiction provisions
21. General Provisions: Standard boilerplate clauses including amendments, assignments, and severability
1. Regulatory Reporting: Include when parties are subject to specific regulatory reporting requirements
2. Tax Provisions: Include when tax implications need specific addressing, especially for cross-border arrangements
3. Third-Party Service Providers: Include when external service providers are involved in collateral management
4. Electronic Trading and Systems: Include when electronic trading platforms or specific systems are used
5. Business Continuity: Include when specific business continuity requirements are needed
6. Data Protection: Include when personal data processing is involved, requiring GDPR compliance
7. Anti-Money Laundering: Include when specific AML obligations need to be addressed
8. Force Majeure: Include when specific force majeure provisions are required beyond standard provisions
1. Schedule 1 - Eligible Collateral: Detailed list of acceptable collateral types and criteria
2. Schedule 2 - Valuation Procedures: Detailed methodology for valuation of different types of collateral
3. Schedule 3 - Fee Schedule: Detailed breakdown of fees and charges
4. Schedule 4 - Operating Procedures: Detailed operational procedures and workflows
5. Schedule 5 - Contact Details: List of authorized persons and contact information
6. Schedule 6 - Form of Notices: Standard forms for various notices including margin calls
7. Appendix A - Security Account Details: Details of relevant security accounts and custodians
8. Appendix B - Reporting Requirements: Specifications for required reports and their frequency
Authors
Account Bank
Additional Collateral
Affiliate
Authorized Person
Business Day
Calculation Agent
Calculation Date
Close-out Amount
Collateral
Collateral Account
Collateral Agent
Collateral Management System
Collateral Manager
Collateral Provider
Collateral Receiver
Collateral Transfer
Collateral Value
Credit Support Amount
Custody Account
Cut-off Time
Default Event
Default Notice
Delivery Date
Dispute Notice
Eligible Collateral
Encumbrance
Enforcement Event
Equivalent Collateral
Excess Collateral
Exposure
Financial Instruments
Haircut
Income
Interest Period
Margin Call
Margin Deficit
Margin Excess
Market Value
Minimum Transfer Amount
Notice of Exclusive Control
Notification Time
Operating Procedures
Pledge
Posted Collateral
Regulatory Requirement
Relevant Financial Centre
Required Collateral Value
Return Amount
Securities Account
Security Interest
Settlement Day
Substitution Date
Termination Date
Transfer Date
Valuation Agent
Valuation Date
Valuation Percentage
Valuation Time
Authority
Collateral Delivery
Collateral Eligibility
Collateral Substitution
Confidentiality
Custody
Data Protection
Default
Dispute Resolution
Enforcement
Events of Default
Fees
Force Majeure
Governing Law
Income Collection
Indemnification
Interest
Jurisdiction
Liability
Margin Requirements
Notices
Regulatory Compliance
Representations and Warranties
Reporting
Rights and Obligations
Security Interest
Services
Settlement
Subordination
Termination
Transfer
Valuation
Banking
Financial Services
Investment Management
Insurance
Asset Management
Securities Services
Fund Administration
Treasury Services
Capital Markets
Corporate Banking
Legal
Risk Management
Compliance
Treasury
Operations
Collateral Management
Portfolio Management
Credit Risk
Securities Operations
Financial Control
Documentation
Trading
Client Relations
Legal Counsel
Risk Manager
Compliance Officer
Treasury Manager
Operations Manager
Collateral Manager
Portfolio Manager
Credit Risk Officer
Securities Operations Officer
Financial Controller
Documentation Specialist
Relationship Manager
Credit Administrator
Head of Trading
Senior Compliance Manager
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