The Stock Lending Agreement is a critical document used in Swiss financial markets to facilitate the temporary transfer of securities between financial institutions. It is particularly relevant when institutions need to cover short positions, support market-making activities, or generate additional revenue from their securities holdings. The agreement must comply with Swiss regulatory requirements, including FINMA regulations, the Federal Act on Financial Market Infrastructures, and the Swiss Federal Code of Obligations. It includes detailed provisions for collateral management, risk mitigation, corporate actions processing, and default handling. This document is essential for financial institutions operating in Switzerland and must incorporate specific Swiss legal requirements regarding financial contracts, securities transfers, and regulatory reporting obligations.
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1. Parties: Identification of the lender and borrower, including full legal names, registration details, and addresses
2. Background: Context of the agreement, establishing the parties' intentions to enter into securities lending transactions
3. Definitions: Comprehensive list of defined terms 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 procedures for transferring securities between parties
6. Collateral Requirements: Provisions regarding posting, maintaining, and returning collateral, including margin requirements
7. Income and Corporate Actions: Treatment of dividends, interest, rights issues and other corporate actions affecting borrowed securities
8. Fees and Charges: Lending fees, rates, payment mechanisms and timing
9. Tax Provisions: Treatment of withholding tax, tax credits, and manufactured payments
10. Representations and Warranties: Standard representations by both parties regarding capacity, authority, and compliance
11. Events of Default: Definition of default events and consequences
12. Termination: Provisions for ending individual loans and the agreement itself
13. Set-off Rights: Rights to set off obligations between parties
14. Governing Law and Jurisdiction: Swiss law as governing law and jurisdiction provisions
1. Agency Provisions: Required when either party acts as agent for multiple principals
2. Custody Arrangements: Needed when involving third-party custodians for securities or collateral
3. Electronic Trading Platform: Required when transactions will be executed through specific trading platforms
4. Special Custody Requirements: Needed for specific types of securities requiring special handling
5. Triparty Arrangements: Required when using triparty collateral management services
6. Buy-in Procedures: Detailed procedures for buy-in rights, if not covered in main sections
1. Schedule A - Eligible Securities: List of securities eligible for lending under the agreement
2. Schedule B - Eligible Collateral: Approved forms of collateral and applicable haircuts
3. Schedule C - Fee Schedule: Detailed breakdown of fees, rates and charges
4. Schedule D - Standard Settlement Instructions: Account details and settlement procedures for both parties
5. Schedule E - Forms of Notices: Standard forms for borrowing requests, recalls, and other notices
6. Appendix 1 - Tax Documentation: Required tax forms and documentation
7. Appendix 2 - Contact Details: List of authorized personnel and contact information for both parties
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