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Stock Lending Agreement

Stock Lending Agreement Template for Belgium

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Key Requirements PROMPT example:

Stock Lending Agreement

"I need a Belgian law Stock Lending Agreement for a tri-party arrangement where our bank will act as an agent lender for multiple pension fund clients, with automated collateral management and daily margin monitoring requirements."

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Document background
The Stock Lending Agreement is essential for financial institutions engaging in securities lending transactions within the Belgian regulatory framework. It is designed to facilitate the temporary transfer of securities while ensuring compliance with Belgian financial law, particularly the Financial Law of 2 August 2002 and the Financial Collateral Law of 15 December 2004, as well as EU regulations including SFTR. This agreement is typically used by financial institutions, investment firms, and institutional investors when establishing a lending relationship, whether directly or through an agent. The document covers crucial aspects such as loan terms, collateral requirements, corporate actions, tax implications, and default scenarios, while incorporating specific Belgian legal requirements and market practices. It provides a robust legal framework that protects both lenders and borrowers while ensuring regulatory compliance.
Suggested Sections

1. Parties: Identification of the lender and borrower, including their regulatory status and capacity

2. Background: Context of the agreement and purpose of the stock lending arrangement

3. Definitions and Interpretation: Defined terms, construction rules, and interpretation principles

4. Loans of Securities: Core provisions governing the lending and borrowing of securities

5. Delivery and Return: Procedures for delivering loaned securities and returning equivalent securities

6. Collateral Requirements: Obligations regarding posting, maintaining, and returning collateral

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

8. Income and Corporate Actions: Treatment of dividends, rights issues, and other corporate events

9. Tax and Withholding: Tax provisions, gross-up obligations, and withholding requirements

10. Representations and Warranties: Standard and transaction-specific representations by both parties

11. Events of Default: Default triggers and consequences of default

12. Close-out and Set-off: Procedures for terminating transactions and calculating settlement amounts

13. Indemnities: Indemnification obligations of both parties

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

Optional Sections

1. Agency Provisions: Additional provisions for when lending is conducted through an agent

2. Custody Arrangements: Specific provisions when involving third-party custodians

3. Automated Trading Interface: Provisions for electronic trading and settlement systems

4. Sanctions and Market Requirements: Additional compliance requirements for specific markets or jurisdictions

5. Fee Arrangements: Detailed fee structures when not using standard schedule

6. Tri-party Arrangements: Additional provisions for tri-party collateral management

7. Special Settlement Provisions: Market-specific settlement requirements

Suggested Schedules

1. Schedule A - Form of Loan Confirmation: Standard form for confirming individual loan transactions

2. Schedule B - Eligible Securities: List of securities eligible for lending under the agreement

3. Schedule C - Eligible Collateral: Acceptable forms of collateral and applicable haircuts

4. Schedule D - Agency Terms: Detailed terms for agency lending arrangements

5. Schedule E - Fee Schedule: Standard lending fees and rebate rates

6. Schedule F - Operating Procedures: Detailed operational procedures for loans and returns

7. Schedule G - Forms and Notices: Standard forms for various notices under the agreement

8. Schedule H - Contact Details: Contact information for notices and operations

9. Appendix 1 - Tax Documentation: Required tax forms and documentation

10. Appendix 2 - Electronic Trading Terms: Terms for electronic trading platforms if applicable

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
Acceptable Collateral
Act of Insolvency
Agency Annex
Applicable Law
Appropriate Market
Approved Banking Day
Available Securities
Base Currency
Borrower
Borrowing Request
Business Day
Cash Collateral
Close-out
Collateral
Collateral Value
Competent Authority
Corporate Action
Credit Support
Default Market Value
Default Notice
Delegate
Delivery
Designated Office
Distribution
Equivalent Collateral
Equivalent Securities
Event of Default
Exercise Date
Financial Instruments
Income
Income Payment
Income Record Date
Lender
Lending Agent
Loan
Loaned Securities
Margin
Margin Call
Margin Percentage
Margin Ratio
Market Value
Master Agreement
Minimum Transfer Amount
Non-Cash Collateral
Notice of Exclusive Control
Notification Time
Parties
Posted Collateral
Principal
Proceedings
Rate
Receiving Office
Reference Price
Regulatory Requirement
Related Agreement
Required Collateral Value
Securities
Securities Financing Transaction
Settlement Date
SFTR
Standard Settlement Time
Tax
Tax Event
Term
Termination Date
Transaction
Transfer
Transfer Date
Transferee
Transferor
Tri-party Agent
Voting Rights
Withholding Tax
Clauses
Loan of Securities
Delivery and Settlement
Collateral Requirements
Margin Maintenance
Corporate Actions
Income Payments
Tax Provisions
Representations and Warranties
Events of Default
Close-out and Set-off
Indemnification
Agency Provisions
Fees and Charges
Payment and Transfer
Custody Arrangements
Market Disruption
Force Majeure
Confidentiality
Data Protection
Regulatory Compliance
Anti-Money Laundering
Sanctions Compliance
Notice Requirements
Amendment and Modification
Assignment and Transfer
Termination
Governing Law
Jurisdiction
Dispute Resolution
Electronic Trading
Record Keeping
Reporting Requirements
Risk Disclosure
Agreement Duration
Severability
Entire Agreement
Third Party Rights
Counterparts
Relevant Industries

Banking

Investment Management

Insurance

Pension Funds

Asset Management

Securities Services

Broker-Dealers

Financial Technology

Investment Banking

Fund Management

Relevant Teams

Legal

Compliance

Risk Management

Securities Lending

Operations

Trading

Portfolio Management

Settlement

Client Relations

Treasury

Tax

Credit

Documentation

Collateral Management

Relevant Roles

Securities Lending Trader

Legal Counsel

Compliance Officer

Risk Manager

Operations Manager

Collateral Manager

Portfolio Manager

Settlement Officer

Relationship Manager

Treasury Manager

Chief Investment Officer

Head of Securities Finance

Documentation Specialist

Credit Risk Analyst

Tax Manager

Industries
EU Regulation 2015/2365 (SFTR): EU regulation on transparency of securities financing transactions and reuse, which sets reporting obligations and operational requirements for stock lending activities
Belgian Financial Law of 2 August 2002: Law on the supervision of the financial sector and financial services, including provisions on securities lending and borrowing
Belgian Royal Decree of 7 March 2006: Specific regulations on stock lending, including requirements for financial institutions engaging in securities lending
Belgian Civil Code (Book III): General contract law provisions applicable to lending agreements, including formation, interpretation, and enforcement of contracts
Belgian Companies and Associations Code: Corporate law provisions affecting stock lending, including transfer of securities and corporate rights
Belgian Financial Collateral Law of 15 December 2004: Law implementing EU Directive on financial collateral arrangements, crucial for securing stock lending transactions
Belgian Income Tax Code: Tax implications and treatment of stock lending transactions, including withholding tax considerations
EU Market Abuse Regulation (MAR): Regulation preventing market abuse and insider trading, which must be considered in stock lending arrangements
Belgian Law of 2 May 2007: Law on disclosure of major holdings in listed companies, which may be triggered by stock lending transactions
EU Central Securities Depositories Regulation (CSDR): Regulation affecting settlement discipline and requirements for securities transactions, including lending and borrowing
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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