This Stock Borrowing Agreement is designed for use in securities lending transactions within the New Zealand financial markets framework. It is particularly relevant when financial institutions need to establish formal arrangements for temporary transfers of securities, whether for market making, settlement coverage, or trading strategies. The agreement encompasses essential elements required under New Zealand law, including compliance with the Financial Markets Conduct Act 2013 and related regulations. It provides comprehensive coverage of operational procedures, risk management measures, and regulatory requirements specific to the New Zealand jurisdiction, while aligning with international securities lending practices. The document is structured to address both routine lending operations and exceptional circumstances, including default scenarios and market disruptions.
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1. Parties: Identification of the lender and borrower, including registration details and addresses
2. Background: Context of the agreement and relationship between parties
3. Definitions and Interpretation: Key terms used throughout the agreement and rules for interpretation
4. Loans of Securities: Core provisions governing the borrowing and lending of securities
5. Delivery of Securities: Procedures and timing for delivering borrowed securities
6. Collateral Requirements: Terms regarding posting and maintaining collateral
7. Rights and Obligations: Specific rights and obligations of both parties during the lending period
8. Fees and Charges: Borrowing fees, charges, and payment terms
9. Tax and Dividends: Treatment of dividends, corporate actions, and tax implications
10. Events of Default: Definition of default events and consequences
11. Termination: Conditions and procedures for terminating the agreement
12. Representations and Warranties: Standard declarations by both parties
13. Indemnification: Indemnity provisions and allocation of risks
14. Notices: Communication procedures between parties
15. General Provisions: Standard boilerplate clauses including governing law, jurisdiction, etc.
1. Agency Provisions: Required when either party acts as an agent for underlying clients
2. Regulatory Compliance: Specific section for enhanced regulatory requirements when dealing with regulated entities
3. Electronic Trading: Include when parties will use electronic platforms for lending transactions
4. Central Counterparty Provisions: Required when transactions will be cleared through a central counterparty
5. Margin Maintenance: Detailed margin requirements when parties agree to specific margin thresholds
6. Securities Rehypothecation: Include when borrower is permitted to re-use borrowed securities
7. Foreign Securities Provisions: Required when agreement covers international securities
1. Schedule 1 - Eligible Securities: List of securities that may be borrowed under the agreement
2. Schedule 2 - Fee Schedule: Detailed breakdown of fees and charges
3. Schedule 3 - Collateral Requirements: Specific collateral criteria and haircuts
4. Schedule 4 - Operating Procedures: Detailed operational procedures for borrowing and returning securities
5. Schedule 5 - Form of Loan Confirmation: Standard form for confirming individual loan transactions
6. Schedule 6 - Authorized Persons: List of authorized signatories and traders
7. Appendix A - Standard Settlement Instructions: Settlement and payment instructions for both parties
8. Appendix B - Tax Documentation: Required tax forms and declarations
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