The Stock Loan Agreement serves as the primary contractual framework for securities lending transactions in the Indian financial markets. This document is essential when financial institutions engage in the temporary transfer of securities against collateral, enabling market making, settlement coverage, and strategic trading activities. The agreement must comply with the Securities and Exchange Board of India (SEBI) guidelines, particularly the SEBI (Stock Lending Scheme) 1997 and subsequent circulars. It incorporates specific provisions for Indian regulatory requirements while following international market standards. The document is crucial for establishing rights, obligations, and operational procedures between lenders and borrowers, including collateral management, corporate actions, and default handling.
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1. Parties: Identification of the lender and borrower, including registration details and regulatory status
2. Background: Context of the agreement and regulatory framework under which it operates
3. Definitions and Interpretation: Definitions of key terms and interpretation rules for the agreement
4. Loans of Securities: Core provisions regarding the lending and borrowing of securities, including loan mechanics
5. Transfer of Securities: Procedures and requirements for the transfer of securities between parties
6. Collateral Requirements: Provisions regarding posting, maintaining, and returning collateral
7. Margin Maintenance: Rules for calculating and maintaining margin requirements
8. Rights and Obligations: General rights and obligations of both parties
9. Fees and Charges: Lending fees, corporate action payments, and other charges
10. Tax Provisions: Treatment of tax matters including withholding tax and tax indemnities
11. Representations and Warranties: Standard and specific representations and warranties by both parties
12. Events of Default: Definition of events of default and consequences
13. Termination: Provisions for termination of loans and the agreement
14. Set-off Rights: Rights of set-off between parties
15. Dispute Resolution: Procedures for resolving disputes between parties
16. Governing Law and Jurisdiction: Specification of Indian law as governing law and jurisdiction
1. Agency Provisions: Required when either party acts as an agent for underlying principals
2. Foreign Exchange Provisions: Required when cross-border transactions are contemplated
3. Electronic Trading Platform: Required when transactions will be executed through specific trading platforms
4. Custodian Provisions: Required when third-party custodians are involved
5. Mini Close-out: Optional provisions for dealing with failed deliveries
6. Force Majeure: Optional provisions for handling extraordinary events
7. Market Disruption: Optional provisions for handling market disruption events
1. Schedule 1 - Eligible Securities: List of securities eligible for lending under the agreement
2. Schedule 2 - Eligible Collateral: Types of acceptable collateral and applicable haircuts
3. Schedule 3 - Fee Schedule: Details of lending fees and other charges
4. Schedule 4 - Contact Details: Contact information for notices and operations
5. Schedule 5 - Systems and Operations: Operational procedures and systems requirements
6. Schedule 6 - Form of Loan Confirmation: Standard form for confirming individual loans
7. Appendix A - Standard Settlement Instructions: Settlement and payment instructions for both parties
8. Appendix B - Tax Documentation: Required tax forms and documentation
Relevant legal definitions
Adjusted Value
Agent Lender
Applicable Rate
Approved Intermediary
Available Securities
Base Currency
Borrowed Securities
Business Day
Buy-in
Cash Collateral
Close of Business
Collateral
Corporate Actions
Default Market Value
Default Notice
Delivery
Delivery Date
Depot Account
Designated Office
Distribution
Dividend
Eligible Collateral
Equivalent Collateral
Equivalent Securities
Event of Default
Exercise Price
Fixed Income Securities
Haircut
Income
Interest Period
Lending Fee
Loan
Loan Confirmation
Margin
Margin Call
Margin Percentage
Margin Securities
Market Value
Mini Close-out
Non-Cash Collateral
Notice of Default
Notification Time
Principal
Recall Notice
Record Date
Relevant Payment Date
Required Collateral Value
Securities
Settlement Date
Stock Exchange
Voting Rights
SEBI
Settlement System
Standard Settlement Instructions
Tax Event
Transaction
Transfer
Valuation Date
Value Date
Agent Lender
Applicable Rate
Approved Intermediary
Available Securities
Base Currency
Borrowed Securities
Business Day
Buy-in
Cash Collateral
Close of Business
Collateral
Corporate Actions
Default Market Value
Default Notice
Delivery
Delivery Date
Depot Account
Designated Office
Distribution
Dividend
Eligible Collateral
Equivalent Collateral
Equivalent Securities
Event of Default
Exercise Price
Fixed Income Securities
Haircut
Income
Interest Period
Lending Fee
Loan
Loan Confirmation
Margin
Margin Call
Margin Percentage
Margin Securities
Market Value
Mini Close-out
Non-Cash Collateral
Notice of Default
Notification Time
Principal
Recall Notice
Record Date
Relevant Payment Date
Required Collateral Value
Securities
Settlement Date
Stock Exchange
Voting Rights
SEBI
Settlement System
Standard Settlement Instructions
Tax Event
Transaction
Transfer
Valuation Date
Value Date
Clauses
Interpretation
Loan and Delivery
Title Transfer
Collateral Arrangements
Margin Maintenance
Income Payments
Corporate Actions
Taxation
Fees and Charges
Representations and Warranties
Covenants
Events of Default
Close-out and Set-off
Indemnification
Force Majeure
Notice Requirements
Assignment and Transfer
Confidentiality
Data Protection
Dispute Resolution
Governing Law
Jurisdiction
Agency Provisions
Termination
Amendment
Severability
Electronic Trading
Settlement Instructions
Regulatory Compliance
Anti-Money Laundering
Market Disruption
Recordkeeping
Entire Agreement
Counterparts
Third Party Rights
Loan and Delivery
Title Transfer
Collateral Arrangements
Margin Maintenance
Income Payments
Corporate Actions
Taxation
Fees and Charges
Representations and Warranties
Covenants
Events of Default
Close-out and Set-off
Indemnification
Force Majeure
Notice Requirements
Assignment and Transfer
Confidentiality
Data Protection
Dispute Resolution
Governing Law
Jurisdiction
Agency Provisions
Termination
Amendment
Severability
Electronic Trading
Settlement Instructions
Regulatory Compliance
Anti-Money Laundering
Market Disruption
Recordkeeping
Entire Agreement
Counterparts
Third Party Rights
Relevant Industries
Banking
Financial Services
Investment Management
Securities Trading
Asset Management
Hedge Funds
Brokerage Services
Custody Services
Market Making
Investment Banking
Relevant Teams
Legal
Compliance
Risk Management
Trading
Operations
Settlement
Collateral Management
Treasury
Portfolio Management
Documentation
Middle Office
Securities Services
Investment Operations
Relevant Roles
Securities Lending Manager
Trading Desk Manager
Risk Manager
Legal Counsel
Compliance Officer
Operations Manager
Settlement Officer
Portfolio Manager
Collateral Manager
Treasury Manager
Chief Risk Officer
Head of Securities Services
Documentation Specialist
Investment Officer
Chief Operating Officer
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