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Security Lending Agreement

Security Lending Agreement Template for Austria

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Key Requirements PROMPT example:

Security Lending Agreement

"I need a Securities Lending Agreement under Austrian law for my asset management firm to act as lender, with specific provisions for lending European equities to multiple broker-dealers and including tri-party collateral management arrangements with our custodian bank."

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Document background
The Securities Lending Agreement serves as the primary contractual framework for institutions engaging in securities lending transactions under Austrian law. It is essential for financial institutions looking to generate additional revenue from their securities holdings or facilitate short-selling activities. The agreement comprehensively addresses loan initiation, collateral management, rights and obligations of parties, default scenarios, and regulatory compliance requirements. This document type is particularly important in the Austrian market as it incorporates specific provisions of Austrian financial law while maintaining compatibility with EU regulations. The agreement is typically used by banks, investment firms, and institutional investors operating in or from Austria, and includes all necessary provisions to comply with both Austrian and EU regulatory requirements.
Suggested Sections

1. Parties: Identification of the lender and borrower, including their legal status and registered addresses

2. Background: Context of the agreement and brief description of the parties' intentions

3. Definitions and Interpretation: Definitions of key terms used throughout the agreement and interpretation rules

4. Loans of Securities: Core provisions governing the lending of securities, including initiation process and confirmation requirements

5. Transfer of Securities and Collateral: Procedures and requirements for transferring securities and collateral

6. Collateral Requirements: Specifications for acceptable collateral, valuation methods, and maintenance requirements

7. Margin Maintenance: Procedures for calculating and maintaining margin requirements

8. Income and Corporate Actions: Treatment of dividends, interest, and corporate actions affecting loaned securities

9. Fees and Charges: Lending fees, charges, and payment terms

10. Tax Provisions: Tax obligations, withholding requirements, and related representations

11. Representations and Warranties: Standard representations and warranties from both parties

12. Events of Default: Definition of default events and consequences

13. Close-out and Set-off: Procedures for termination and settlement following default

14. General Provisions: Standard legal provisions including notices, amendments, and governing law

Optional Sections

1. Agency Lending: Required when either party acts as agent for underlying principals

2. Third Party Service Providers: Needed when custodians or other service providers are involved

3. Additional Services: For cases where additional services like collateral management are provided

4. Electronic Trading Platform: Required when transactions will be executed through specific trading platforms

5. Regulatory Reporting: Specific provisions for regulatory reporting requirements when applicable

6. Central Counterparty Provisions: Required when transactions are cleared through a CCP

7. Non-Cash Collateral Arrangements: Detailed provisions when non-cash collateral is permitted

Suggested Schedules

1. Schedule A - Eligible Securities: List of securities eligible for lending under the agreement

2. Schedule B - Eligible Collateral: Types of acceptable collateral and related haircuts

3. Schedule C - Fee Schedule: Detailed fee structure and calculation methods

4. Schedule D - Operational Procedures: Detailed operational procedures including settlement instructions

5. Schedule E - Forms and Notices: Standard forms for borrowing requests, confirmations, and notices

6. Schedule F - Contact Details: Contact information for authorized personnel and departments

7. Schedule G - Tax Documentation: Required tax forms and documentation

8. Appendix 1 - Standard Settlement Instructions: Detailed settlement instructions for both parties

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
Act of Insolvency
Agency Loan
Agent
Applicable Law
Approved Intermediary
Austrian Banking Act
Automatic Early Termination
Base Currency
Borrower
Borrowing Request
Business Day
Buy-in
Cash Collateral
Close-out
Collateral
Collateral Margin
Collateral Value
Corporate Action
Default Market Value
Default Notice
Delivery
Designated Office
Distribution
Dividend
Equivalent Collateral
Equivalent Securities
Event of Default
Income
Income Payment Date
Income Record Date
Lender
Lending Fee
Loan
Loaned Securities
Margin Call
Margin Percentage
Margin Transfer
Market Value
Minimum Loan Period
Non-Cash Collateral
Notice of Exclusive Control
Notification Time
Parties
Posted Collateral
Principal
Rates
Recall Notice
Relevant Payment Date
Securities
Settlement Date
Settlement System
Standard Settlement Time
Tax
Term
Termination Date
Trade Date
Transaction
Transfer
Valuation Date
Valuation Percentage
Voting Rights
Clauses
Loan of Securities
Delivery of Securities
Collateral Requirements
Margin Maintenance
Rights and Obligations
Representations and Warranties
Events of Default
Close-out and Set-off
Income Payments
Corporate Actions
Taxation
Fees and Charges
Settlement
Agency Provisions
Indemnification
Confidentiality
Notice Requirements
Assignment and Transfer
Termination
Force Majeure
Governing Law
Dispute Resolution
Amendments
Severability
Entire Agreement
Recording of Conversations
Anti-Money Laundering
Regulatory Compliance
Market Disruption
Electronic Trading
Reporting Requirements
Non-Reliance
Further Assurance
Counterparts
Relevant Industries

Banking

Investment Management

Asset Management

Insurance

Pension Funds

Securities Trading

Investment Banking

Financial Services

Fund Management

Wealth Management

Relevant Teams

Legal

Compliance

Risk Management

Securities Operations

Trading

Settlement

Collateral Management

Client Relations

Credit Risk

Financial Control

Regulatory Reporting

Middle Office

Relevant Roles

Securities Lending Trader

Legal Counsel

Compliance Officer

Risk Manager

Operations Manager

Collateral Manager

Portfolio Manager

Securities Operations Specialist

Trading Desk Manager

Settlement Officer

Relationship Manager

Credit Risk Analyst

Financial Controller

Head of Securities Finance

Regulatory Reporting Officer

Industries
Austrian Civil Code (ABGB): Forms the basic legal framework for contracts, providing rules on contract formation, performance, and remedies
Austrian Banking Act (BWG): Regulates banking activities and financial services, including requirements for securities lending operations
Financial Market Authority Act (FMABG): Establishes regulatory framework and supervisory authority for financial market activities
Austrian Securities Deposit Act (DepotG): Governs the custody and administration of securities, crucial for securities lending transactions
Financial Collateral Act (FinSG): Implements EU Financial Collateral Directive, regulating collateral arrangements in financial transactions
Stock Exchange Act (BörseG): Regulates trading of securities and related market operations
Austrian Insolvency Code (IO): Provides rules on insolvency proceedings that might affect securities lending arrangements
EU Regulation 2015/2365 (SFTR): Provides transparency requirements for securities financing transactions
Capital Markets Act (KMG): Governs capital market activities and public offerings of securities
Austrian Securities Supervision Act (WAG): Implements MiFID II in Austria, governing investment services and activities
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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