The Stock Loan Agreement serves as the primary legal framework for securities lending transactions in the German market. This document is essential when financial institutions, investment firms, or other market participants engage in securities lending activities under German jurisdiction. The agreement comprehensively covers the lending relationship, including loan initiation, collateral management, corporate actions, fee structures, and termination procedures. It incorporates specific requirements under German banking law (KWG), securities trading law (WpHG), and civil code (BGB), while also addressing EU-wide regulations such as EMIR and MAR. The Stock Loan Agreement is particularly crucial for risk management, regulatory compliance, and establishing clear operational procedures in securities lending transactions within the German financial markets.
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1. Parties: Identification of the lender and borrower, including their legal status and registered addresses
2. Background: Context of the agreement and general purpose of the stock lending arrangement
3. Definitions and Interpretation: Definitions of key terms and interpretation rules, including German law-specific terminology
4. Loans of Securities: Core provisions governing the lending of securities, including loan mechanics and procedures
5. Delivery and Return: Procedures for delivering loaned securities and returning equivalent securities
6. Collateral Requirements: Rules regarding posting, maintaining, and returning collateral
7. Fees and Payments: Lending fees, payment procedures, and treatment of corporate actions
8. Tax Provisions: Treatment of taxes, including withholding tax considerations under German law
9. Representations and Warranties: Standard and German law-specific representations and warranties
10. Events of Default: Definition of default events and consequences
11. Termination Provisions: Procedures and consequences of termination
12. Notices: Communication procedures between parties
13. Governing Law and Jurisdiction: Confirmation of German law governance and jurisdiction provisions
1. Market Disruption: Provisions dealing with market disruption events, used when lending involves volatile or less liquid securities
2. Agency Provisions: Required when either party acts as agent for underlying principals
3. Netting Provisions: Detailed netting arrangements, used for parties with multiple transactions
4. Electronic Trading Systems: Provisions for using electronic trading platforms, needed when parties use automated systems
5. Set-off Rights: Detailed set-off provisions, important for financial institutions
6. Regulatory Compliance: Specific regulatory compliance provisions, needed for regulated entities
7. Data Protection: GDPR and German data protection law compliance, needed when personal data is processed
1. Form of Loan Notice: Standard form for requesting and confirming loans
2. Eligible Securities: List and characteristics of securities eligible for lending
3. Eligible Collateral: Types and characteristics of acceptable collateral
4. Fee Schedule: Detailed fee calculations and rates
5. Operating Procedures: Detailed operational procedures and contact information
6. Form of Tax Documentation: Required German tax forms and documentation
7. Margin Percentage Schedule: Details of margin requirements for different security types
8. Agency Terms: Detailed agency terms and procedures if applicable
Relevant legal definitions
Equivalent Securities
Loaned Securities
Income
Collateral
Equivalent Collateral
Business Day
Distribution
Default Market Value
Event of Default
Income Payment Date
Lending Fee
Margin Percentage
Market Value
Settlement Date
Transfer Date
Voting Rights
Margin Call
Agency Lending Agreement
BaFin
Securities Settlement System
Corporate Action
Ex-Date
Record Date
Payment Date
Close of Business
Base Currency
Margin
Custodian
Trade Date
Substituted Securities
Material Adverse Effect
Loan Notice
Required Collateral Value
Manufactured Payment
Delivery
Securities Account
Clearstream
Eligible Securities
Eligible Collateral
Haircut
Interest Period
Broker-Dealer
Designated Office
Principal
Agent
Set-off Rights
Netting
Clean Price
Dirty Price
Accrued Interest
WpHG
KWG
BGB
Depotgesetz
Force Majeure Event
EMIR
MAR
Reference Price
Rate Card
Termination Date
Redelivery
Loaned Securities
Income
Collateral
Equivalent Collateral
Business Day
Distribution
Default Market Value
Event of Default
Income Payment Date
Lending Fee
Margin Percentage
Market Value
Settlement Date
Transfer Date
Voting Rights
Margin Call
Agency Lending Agreement
BaFin
Securities Settlement System
Corporate Action
Ex-Date
Record Date
Payment Date
Close of Business
Base Currency
Margin
Custodian
Trade Date
Substituted Securities
Material Adverse Effect
Loan Notice
Required Collateral Value
Manufactured Payment
Delivery
Securities Account
Clearstream
Eligible Securities
Eligible Collateral
Haircut
Interest Period
Broker-Dealer
Designated Office
Principal
Agent
Set-off Rights
Netting
Clean Price
Dirty Price
Accrued Interest
WpHG
KWG
BGB
Depotgesetz
Force Majeure Event
EMIR
MAR
Reference Price
Rate Card
Termination Date
Redelivery
Clauses
Definitions
Interpretation
Loan Mechanics
Delivery of Securities
Return of Securities
Collateral Requirements
Margin Maintenance
Fee Payment
Income and Corporate Actions
Tax Provisions
Representations and Warranties
Covenants
Events of Default
Close-out and Netting
Set-off Rights
Market Disruption
Force Majeure
Regulatory Compliance
Agency Provisions
Indemnification
Confidentiality
Data Protection
Assignment and Transfer
Notices
Amendment and Waiver
Severability
Governing Law
Jurisdiction
Dispute Resolution
Electronic Trading Systems
Recording of Communications
Term and Termination
Entire Agreement
Counterparts
Third Party Rights
Interpretation
Loan Mechanics
Delivery of Securities
Return of Securities
Collateral Requirements
Margin Maintenance
Fee Payment
Income and Corporate Actions
Tax Provisions
Representations and Warranties
Covenants
Events of Default
Close-out and Netting
Set-off Rights
Market Disruption
Force Majeure
Regulatory Compliance
Agency Provisions
Indemnification
Confidentiality
Data Protection
Assignment and Transfer
Notices
Amendment and Waiver
Severability
Governing Law
Jurisdiction
Dispute Resolution
Electronic Trading Systems
Recording of Communications
Term and Termination
Entire Agreement
Counterparts
Third Party Rights
Relevant Industries
Financial Services
Banking
Investment Management
Securities Trading
Asset Management
Pension Fund Management
Insurance
Hedge Fund Management
Capital Markets
Broker-Dealer Services
Relevant Teams
Legal
Compliance
Risk Management
Trading Operations
Securities Operations
Collateral Management
Settlement
Treasury
Portfolio Management
Regulatory Reporting
Trading
Investment Management
Documentation
Relevant Roles
Securities Lending Manager
Legal Counsel
Compliance Officer
Risk Manager
Trading Operations Manager
Collateral Manager
Settlement Officer
Portfolio Manager
Securities Operations Director
Treasury Manager
Regulatory Reporting Officer
Trading Desk Manager
Investment Officer
Fund Manager
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