The Stock Borrowing Agreement serves as the primary contractual framework for securities lending transactions in Malta, enabling market participants to temporarily transfer securities while maintaining economic benefits and managing associated risks. This document is essential for financial institutions engaging in securities lending, short selling, or collateral management operations under Maltese jurisdiction. The agreement must comply with the Financial Markets Act (Chapter 345 of the Laws of Malta), relevant EU regulations, and international market standards. It details the rights and obligations of both parties, collateral requirements, corporate action procedures, and default mechanisms. The Stock Borrowing Agreement is particularly crucial for maintaining market liquidity, supporting trading strategies, and facilitating efficient settlement processes while ensuring regulatory compliance within Malta's financial services framework.
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1. Parties: Identification of the lender and borrower, including registration details and addresses
2. Background: Context of the agreement and general purpose of the stock borrowing arrangement
3. Definitions and Interpretation: Detailed definitions of technical terms and interpretation rules
4. Loans of Securities: Core provisions governing the borrowing and lending process, including initiation and confirmation of loans
5. Transfer of Securities and Collateral: Procedures and requirements for transferring securities and posting collateral
6. Collateral Maintenance: Rules for maintaining, valuing, and adjusting collateral throughout the loan period
7. Fees and Charges: Borrowing fees, payment terms, and other applicable charges
8. Income and Corporate Actions: Treatment of dividends, rights issues, and other corporate actions affecting borrowed securities
9. Tax and Withholding: Tax obligations, manufactured payments, and withholding requirements
10. Representations and Warranties: Standard and specific representations by both parties
11. Events of Default: Definition of default events and consequences
12. Close-out and Set-off: Procedures for terminating loans and settling obligations following default
13. Notices: Communication requirements and contact details
14. Governing Law and Jurisdiction: Maltese law as governing law and jurisdiction provisions
1. Agency Provisions: Required when either party acts as agent for underlying principals
2. Intermediary Provisions: Required when transactions involve custodians or other intermediaries
3. Margin Maintenance: Detailed margining provisions for complex collateral arrangements
4. Electronic Trading Platform: Required when loans are initiated through specific trading platforms
5. Market Disruption: Provisions dealing with market disruption events and force majeure
6. Additional Tax Provisions: Required for cross-border arrangements or specific tax structures
7. Central Counterparty Provisions: Required when trades are cleared through a CCP
8. Non-Standard Settlement: Required for securities with non-standard settlement arrangements
1. Form of Loan Confirmation: Standard form for confirming individual loan transactions
2. Eligible Securities: List of securities eligible for borrowing under the agreement
3. Eligible Collateral: Types of acceptable collateral and applicable haircuts
4. Fee Schedule: Detailed fee structure and calculation methodologies
5. Contact Details: Operational and legal contacts for both parties
6. Agency Disclosure: Format for disclosure of underlying principals in agency transactions
7. Tax Documentation: Required tax forms and documentation
8. Operating Procedures: Detailed operational procedures and requirements
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