The Stock Borrowing Agreement is a fundamental document in Hong Kong's securities markets, typically used when parties need to establish an ongoing relationship for securities borrowing and lending transactions. It's particularly crucial for activities such as short selling, settlement coverage, and market making operations. The agreement must comply with Hong Kong's regulatory framework, particularly the Securities and Futures Ordinance and Hong Kong Exchange requirements. It includes detailed provisions for the transfer of securities, collateral management, corporate actions, and default scenarios. This document is essential for financial institutions operating in Hong Kong's markets and must incorporate specific local regulatory requirements, market practices, and stamp duty considerations. The agreement serves as a master document under which multiple individual borrowing transactions can be conducted.
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1. Parties: Identification of the lender and borrower, including their regulatory status if applicable
2. Background: Context of the agreement and relationship between the parties
3. Definitions and Interpretation: Definitions of key terms and interpretation rules
4. Loans of Securities: Core provisions governing the borrowing and lending of securities
5. Delivery and Return: Procedures and timing for delivery and return of borrowed securities
6. Collateral Requirements: Provisions regarding posting and maintaining collateral
7. Margin Maintenance: Requirements for maintaining margin levels and mark-to-market procedures
8. Rights and Obligations: Specific rights and obligations of both parties during the loan period
9. Income and Corporate Actions: Treatment of dividends, rights issues, and other corporate actions
10. Tax and Stamp Duty: Provisions dealing with tax implications and stamp duty obligations
11. Events of Default: Definition of default events and consequences
12. Termination: Circumstances and procedures for termination
13. Representations and Warranties: Standard and specific representations by both parties
14. General Provisions: Standard boilerplate clauses including notices, amendments, and governing law
1. Multiple Currencies: Required when loans involve securities denominated in different currencies
2. Agency Provisions: Required when either party acts as agent for underlying principals
3. Custody Arrangements: Required when third-party custodians are involved
4. Regulatory Compliance: Specific provisions required for regulated entities or specific types of securities
5. Electronic Trading Platform: Required when transactions will be executed through specific trading platforms
6. Set-off Rights: Optional provisions for set-off rights across multiple transactions
7. Force Majeure: Optional detailed provisions for market disruption events
1. Form of Loan Confirmation: Standard form for confirming individual loan transactions
2. Eligible Securities: List and characteristics of securities eligible for borrowing
3. Eligible Collateral: Types of acceptable collateral and relevant haircuts
4. Agency Disclosure: Form for disclosure of underlying principals in agency transactions
5. Settlement Instructions: Standard settlement and payment instructions
6. Fee Schedule: Details of borrowing fees and other charges
7. Contact Details: List of authorized personnel and contact information for notices
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