The Short Sale Contract is essential for parties engaging in short selling activities within the UK financial markets. This document is used when an investor wishes to sell securities they don't currently own, typically betting on a price decline. The contract ensures compliance with English and Welsh law, including the Financial Services and Markets Act 2000 and relevant FCA regulations. It details borrowing arrangements, settlement procedures, margin requirements, and regulatory obligations, providing a comprehensive framework for executing and managing short sale transactions.
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1. Parties: Identification of parties entering into the short sale agreement
2. Background: Context and purpose of the short sale arrangement
3. Definitions: Key terms used throughout the agreement
4. Securities Subject to Sale: Identification of securities to be sold short
5. Borrowing Arrangements: Terms for borrowing securities for delivery
6. Settlement Terms: Timing and process for settlement
7. Margin Requirements: Collateral and margin maintenance obligations
8. Representations and Warranties: Standard declarations by both parties
1. Corporate Actions: Handling of dividends and other corporate events - used when dealing with equity securities
2. Prime Broker Arrangements: Terms relating to prime broker involvement - used when prime brokerage services are involved
3. Rehypothecation Rights: Rights to reuse posted collateral - used when collateral reuse is permitted
1. Schedule 1 - Eligible Securities: List of securities that may be sold short under the agreement
2. Schedule 2 - Margin Requirements: Detailed margin calculations and maintenance requirements
3. Schedule 3 - Standard Settlement Instructions: Account details and settlement procedures
4. Appendix A - Form of Trade Confirmation: Template for confirming individual short sale transactions
Relevant legal definitions
Applicable Law
Borrowed Securities
Business Day
Collateral
Default Event
Delivery Date
Event of Default
FCA
Initial Margin
Lending Fee
Maintenance Margin
Margin Call
Market Value
Naked Short Sale
Notice of Borrowing
Prime Broker
Recall Notice
Regulatory Requirements
Securities
Settlement Date
Short Position
Short Sale
Short Sale Price
Trading Day
Transaction
Transfer
Valuation Date
Voting Rights
Borrowed Securities
Business Day
Collateral
Default Event
Delivery Date
Event of Default
FCA
Initial Margin
Lending Fee
Maintenance Margin
Margin Call
Market Value
Naked Short Sale
Notice of Borrowing
Prime Broker
Recall Notice
Regulatory Requirements
Securities
Settlement Date
Short Position
Short Sale
Short Sale Price
Trading Day
Transaction
Transfer
Valuation Date
Voting Rights
Clauses
Representations and Warranties
Borrowing and Delivery
Settlement Obligations
Margin Requirements
Fees and Charges
Close-out and Termination
Default Events
Regulatory Compliance
Market Disruption
Corporate Actions
Voting Rights
Income and Distributions
Collateral Arrangements
Notice Requirements
Recordkeeping
Assignment and Transfer
Governing Law
Dispute Resolution
Force Majeure
Indemnification
Confidentiality
Amendment and Modification
Term and Termination
Reporting Requirements
Risk Disclosure
Borrowing and Delivery
Settlement Obligations
Margin Requirements
Fees and Charges
Close-out and Termination
Default Events
Regulatory Compliance
Market Disruption
Corporate Actions
Voting Rights
Income and Distributions
Collateral Arrangements
Notice Requirements
Recordkeeping
Assignment and Transfer
Governing Law
Dispute Resolution
Force Majeure
Indemnification
Confidentiality
Amendment and Modification
Term and Termination
Reporting Requirements
Risk Disclosure
Relevant Industries
Relevant Teams
Relevant Roles
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