The Share Lending Agreement is a crucial document in German financial markets that facilitates the temporary transfer of securities between market participants. It is commonly used for various purposes including covering short positions, supporting market making activities, generating additional income from securities holdings, and addressing settlement failures. The agreement must comply with German regulatory requirements, particularly the Securities Trading Act (WpHG) and Banking Act (KWG), while also considering European regulations such as EMIR. This document type is essential for financial institutions operating in Germany and includes detailed provisions for collateral management, corporate actions, voting rights, and default scenarios. The Share Lending Agreement typically incorporates market standard provisions while allowing for customization based on the parties' specific requirements and the nature of the securities involved.
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1. Parties: Identification of the lender and borrower, including full legal names and addresses
2. Background: Context of the agreement and general purpose of the share lending arrangement
3. Definitions and Interpretation: Definitions of key terms used throughout the agreement and rules of interpretation
4. Loan of Securities: Core terms of the lending arrangement, including identification of securities to be lent
5. Delivery and Return: Procedures and timing for the delivery of borrowed securities and their return
6. Term and Termination: Duration of the agreement and circumstances under which it can be terminated
7. Fees and Payments: Lending fees, payment terms, and any other financial considerations
8. Rights and Obligations: Detailed responsibilities of both parties during the lending period
9. Distributions and Corporate Actions: Treatment of dividends, rights issues, and other corporate actions during the loan period
10. Representations and Warranties: Standard representations and warranties from both parties
11. Events of Default: Definition of default events and their consequences
12. Collateral Arrangements: Requirements for collateral, including type, amount, and maintenance
13. Tax Provisions: Treatment of taxes and responsibilities for tax payments
14. Notices: Communication procedures between parties
15. Governing Law and Jurisdiction: Specification of German law as governing law and jurisdiction for disputes
1. Market Disruption: Provisions dealing with market disruption events - include when lending involves listed securities
2. Regulatory Compliance: Additional regulatory requirements - include when either party is a regulated entity
3. Set-off Rights: Rights to set off obligations - include when parties have multiple trading relationships
4. Voting Rights: Specific arrangements for voting rights - include when voting rights are important to either party
5. Intermediary Provisions: Additional provisions when custodians or other intermediaries are involved
6. Foreign Securities: Special provisions for cross-border elements - include when foreign securities are involved
7. Force Majeure: Provisions for extraordinary events - include when requested by parties
1. Schedule 1 - Securities: Detailed description of the securities to be lent, including ISIN numbers and quantities
2. Schedule 2 - Fee Schedule: Detailed breakdown of all applicable fees and calculation methods
3. Schedule 3 - Collateral Terms: Specific terms regarding acceptable collateral and haircuts
4. Schedule 4 - Settlement Instructions: Detailed instructions for securities transfers and payments
5. Schedule 5 - Contact Details: List of authorized representatives and contact information
6. Appendix A - Form of Loan Confirmation: Standard form for confirming individual loan transactions
7. Appendix B - Form of Default Notice: Standard form for issuing notices of default
Relevant legal definitions
Applicable Law
Borrowed Securities
Business Day
Collateral
Collateral Value
Corporate Action
Default Interest
Distribution
Early Termination Date
Eligible Collateral
Event of Default
Income
Income Payment Date
Lending Fee
Loan
Loan Date
Margin Percentage
Market Value
Manufactured Payment
Notice of Default
Parties
Posted Collateral
Recall Notice
Reference Price
Relevant Exchange
Return Date
Securities
Settlement Date
Settlement System
Termination Notice
Transfer
Voting Rights
Equivalent Securities
Custodian
Securities Account
Margin Call
Rate of Return
Tax Event
Market Disruption Event
Material Adverse Change
Regulatory Requirement
BaFin
WpHG
Designated Office
Base Currency
Trade Date
Confirmation
Exposure
Interest Period
Redelivery
Borrowed Securities
Business Day
Collateral
Collateral Value
Corporate Action
Default Interest
Distribution
Early Termination Date
Eligible Collateral
Event of Default
Income
Income Payment Date
Lending Fee
Loan
Loan Date
Margin Percentage
Market Value
Manufactured Payment
Notice of Default
Parties
Posted Collateral
Recall Notice
Reference Price
Relevant Exchange
Return Date
Securities
Settlement Date
Settlement System
Termination Notice
Transfer
Voting Rights
Equivalent Securities
Custodian
Securities Account
Margin Call
Rate of Return
Tax Event
Market Disruption Event
Material Adverse Change
Regulatory Requirement
BaFin
WpHG
Designated Office
Base Currency
Trade Date
Confirmation
Exposure
Interest Period
Redelivery
Clauses
Loan and Delivery
Return of Securities
Title Transfer
Collateral
Fees and Charges
Representations and Warranties
Events of Default
Termination
Corporate Actions
Income Payments
Voting Rights
Tax
Market Disruption
Force Majeure
Indemnification
Assignment and Transfer
Confidentiality
Notices
Set-off Rights
Further Assurance
Severability
Entire Agreement
Amendments
Counterparts
Regulatory Compliance
Anti-Money Laundering
Record Keeping
Dispute Resolution
Governing Law and Jurisdiction
No Agency
Third Party Rights
Costs and Expenses
Return of Securities
Title Transfer
Collateral
Fees and Charges
Representations and Warranties
Events of Default
Termination
Corporate Actions
Income Payments
Voting Rights
Tax
Market Disruption
Force Majeure
Indemnification
Assignment and Transfer
Confidentiality
Notices
Set-off Rights
Further Assurance
Severability
Entire Agreement
Amendments
Counterparts
Regulatory Compliance
Anti-Money Laundering
Record Keeping
Dispute Resolution
Governing Law and Jurisdiction
No Agency
Third Party Rights
Costs and Expenses
Relevant Industries
Financial Services
Banking
Investment Management
Securities Trading
Asset Management
Insurance
Corporate Finance
Capital Markets
Investment Banking
Fund Management
Relevant Teams
Legal
Compliance
Risk Management
Trading
Operations
Treasury
Portfolio Management
Documentation
Settlements
Collateral Management
Client Services
Regulatory Reporting
Relevant Roles
Securities Lending Trader
Legal Counsel
Compliance Officer
Risk Manager
Portfolio Manager
Operations Manager
Collateral Manager
Trading Desk Manager
Securities Operations Officer
Investment Manager
Treasury Manager
Documentation Specialist
Regulatory Reporting Officer
Settlement Officer
Relationship Manager
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