The Collateral Control Agreement is essential in secured lending transactions where physical or electronic control of collateral by an independent third party is required. This document is commonly used when lenders need additional security beyond a traditional security agreement, particularly in inventory financing, commodities trading, and securities lending. The agreement ensures compliance with UCC requirements for perfection by control and establishes clear procedures for collateral management, helping to mitigate risk in secured transactions under U.S. law.
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1. Parties: Identification of all parties: typically the secured party, debtor, and collateral control agent
2. Background: Context of the agreement and relationship between parties
3. Definitions: Key terms used throughout the agreement including references to UCC Articles 9, 8, and 7
4. Appointment of Control Agent: Terms of appointment and acceptance of the control agent
5. Control and Custody: Provisions regarding control and custody of collateral
6. Instructions and Notices: Procedures for giving instructions regarding collateral
7. Rights and Duties: Obligations and rights of each party
8. Fees and Expenses: Payment terms for control agent services
9. Term and Termination: Duration and termination provisions
1. Electronic Communications: Terms for electronic communication methods and security protocols
2. Foreign Currency Provisions: Specific provisions for handling foreign currency collateral and exchange rates
3. Investment and Interest: Terms for investing cash collateral and interest distribution
1. Schedule of Authorized Persons: List of individuals authorized to give instructions on behalf of each party
2. Fee Schedule: Detailed breakdown of control agent fees and payment terms
3. Notice Details: Contact information and addresses for notices for all parties
4. Form of Instructions: Standard forms and templates for giving instructions regarding collateral
5. Eligible Investments: List of permitted investments for cash collateral if applicable
Relevant legal definitions
Agreement
Applicable Law
Authorized Person
Business Day
Collateral
Collateral Account
Collateral Control Agent
Control Notice
Credit Agreement
Default
Debtor
Eligible Investments
Event of Default
Fees
Governing Law
Instructions
Lien
Losses
Notice of Exclusive Control
Perfection
Permitted Investments
Secured Obligations
Secured Party
Security Interest
Term
UCC
Value of Collateral
Written Instructions
Applicable Law
Authorized Person
Business Day
Collateral
Collateral Account
Collateral Control Agent
Control Notice
Credit Agreement
Default
Debtor
Eligible Investments
Event of Default
Fees
Governing Law
Instructions
Lien
Losses
Notice of Exclusive Control
Perfection
Permitted Investments
Secured Obligations
Secured Party
Security Interest
Term
UCC
Value of Collateral
Written Instructions
Clauses
Appointment of Control Agent
Authority and Powers
Collateral Control
Custody of Collateral
Representations and Warranties
Rights and Duties
Instructions and Notices
Security Interest
Fees and Expenses
Indemnification
Standard of Care
Confidentiality
Force Majeure
Termination
Successor Agent
Liability and Limitation
Amendment and Modification
Assignment
Notices
Governing Law
Dispute Resolution
Severability
Entire Agreement
Counterparts
Electronic Execution
No Third-Party Beneficiaries
Waiver
Further Assurances
Authority and Powers
Collateral Control
Custody of Collateral
Representations and Warranties
Rights and Duties
Instructions and Notices
Security Interest
Fees and Expenses
Indemnification
Standard of Care
Confidentiality
Force Majeure
Termination
Successor Agent
Liability and Limitation
Amendment and Modification
Assignment
Notices
Governing Law
Dispute Resolution
Severability
Entire Agreement
Counterparts
Electronic Execution
No Third-Party Beneficiaries
Waiver
Further Assurances
Relevant Industries
Relevant Teams
Relevant Roles
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