The Securities Lending Agreement serves as the primary contractual framework for securities lending transactions in the New Zealand market. It is used when financial institutions wish to establish an ongoing relationship for the lending and borrowing of securities, typically to support trading strategies, generate additional revenue, or meet settlement obligations. The agreement covers crucial aspects such as loan initiation, collateral management, corporate actions, and default scenarios, while ensuring compliance with New Zealand regulatory requirements, particularly the Financial Markets Conduct Act 2013 and associated regulations. This document is essential for financial institutions engaging in securities lending activities in New Zealand and typically follows market-standard practices while incorporating jurisdiction-specific requirements.
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1. Parties: Identification of the lender and borrower, including their legal status and contact details
2. Background: Context of the agreement, including the parties' intention to enter into securities lending transactions
3. Definitions and Interpretation: Comprehensive definitions of terms used throughout the agreement and rules of interpretation
4. Loans of Securities: Core provisions governing the lending and borrowing of securities, including loan procedures and requirements
5. Transfer of Securities: Mechanisms and obligations for the transfer of securities between parties
6. Collateral Requirements: Provisions regarding posting, maintaining, and returning collateral, including margin requirements
7. Representations and Warranties: Standard representations and warranties from both parties
8. Events of Default: Definition of events of default and their consequences
9. Rights on Default: Remedies and procedures following an event of default
10. Tax and Distributions: Treatment of corporate actions, dividends, and tax implications
11. Fees and Charges: Lending fees, transaction costs, and payment procedures
12. General Provisions: Standard contractual provisions including notices, amendments, and governing law
1. Agency Provisions: Required when either party acts as an agent for underlying principals
2. Custody Arrangements: Include when a third-party custodian is involved in holding securities or collateral
3. Electronic Trading Platform: Include when transactions will be executed through specific trading platforms
4. Buy-in Procedures: Detailed procedures for buy-in rights, included when required by specific market practices
5. Tri-party Arrangements: Required when using a tri-party collateral agent
6. Credit Support: Additional credit support provisions beyond standard collateral requirements
7. Multiple Branch Provisions: Include when parties operate through multiple branches or jurisdictions
1. Schedule A - Standard Terms and Conditions: Detailed operational terms and conditions for securities lending transactions
2. Schedule B - Form of Loan Confirmation: Template for confirming individual lending transactions
3. Schedule C - Eligible Securities: List and specifications of securities eligible for lending
4. Schedule D - Eligible Collateral: Approved types of collateral and associated haircuts
5. Schedule E - Agency Terms: Specific terms applicable to agency lending arrangements
6. Schedule F - Contact Details: Operational contacts and notice details for both parties
7. Schedule G - Systems and Operations: Operational procedures and systems requirements
8. Appendix 1 - Tax Documentation: Required tax forms and documentation
9. Appendix 2 - Form of Power of Attorney: Standard form of power of attorney if required
Relevant legal definitions
Clauses
Relevant Industries
Banking and Financial Services
Investment Management
Securities Trading
Asset Management
Pension Fund Management
Insurance
Wealth Management
Investment Banking
Brokerage Services
Financial Technology
Relevant Teams
Legal
Compliance
Risk Management
Trading
Operations
Investment Management
Collateral Management
Settlement
Financial Control
Regulatory Reporting
Portfolio Management
Middle Office
Front Office
Back Office
Relevant Roles
Securities Lending Trader
Legal Counsel
Compliance Officer
Risk Manager
Operations Manager
Portfolio Manager
Collateral Manager
Trading Desk Manager
Securities Operations Officer
Investment Director
Chief Investment Officer
Head of Trading
Financial Controller
Regulatory Reporting Manager
Settlement Officer
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