The Tri-Party Collateral Agreement serves as a critical document in secured financing arrangements under U.S. law. It is commonly used in securities lending, repo transactions, and other collateralized arrangements where a neutral third party is needed to hold and manage collateral. The agreement details the operational framework for collateral management, including posting, substitution, valuation, and default procedures. It incorporates requirements from the UCC, securities laws, and banking regulations, while providing clarity on the roles and responsibilities of all parties involved. This type of agreement is particularly important in reducing counterparty risk and ensuring efficient collateral management in financial transactions.
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1. Parties: Identification of pledgor, secured party, and custodian
2. Background: Context of the agreement and underlying obligations
3. Definitions: Key terms used throughout the agreement
4. Appointment of Custodian: Terms of custodian appointment and duties
5. Collateral Arrangements: Details of collateral posting, maintenance, and substitution
6. Security Interest: Creation and perfection of security interest
7. Custody Obligations: Custodian's responsibilities and standard of care
8. Default and Remedies: Events of default and corresponding actions
9. Termination: Conditions and process for agreement termination
1. Income and Distributions: Treatment of dividends and other income from collateral when the collateral generates income
2. Foreign Currency Provisions: Handling of multiple currencies for international transactions
3. Investment Authority: Parameters for reinvestment of cash collateral when reinvestment is permitted
1. Eligible Collateral Schedule: List of acceptable collateral types and valuations
2. Fee Schedule: Custodian's fees and charges
3. Operating Procedures: Detailed operational procedures and instructions
4. Authorized Persons: List of individuals authorized to give instructions
5. Notice Details: Contact information for notices and communications
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