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Stock Loan Agreement

Stock Loan Agreement Template for Australia

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Key Requirements PROMPT example:

Stock Loan Agreement

"I need a Stock Loan Agreement under Australian law for our hedge fund to borrow Australian and US listed securities from multiple institutional lenders, with rehypothecation rights and the ability to post both cash and non-cash collateral as security."

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Document background
The Stock Loan Agreement is a fundamental document in securities financing transactions under Australian law, enabling market participants to temporarily transfer securities in exchange for collateral. This agreement is essential for various market activities including short selling, settlement coverage, and yield enhancement strategies. It incorporates requirements from Australian financial services regulations, tax laws, and market practices while aligning with international standards for securities lending. The document is typically used by financial institutions, asset managers, and broker-dealers operating in Australian markets, providing a comprehensive framework for securities lending transactions including loan terms, collateral requirements, corporate action treatments, and default procedures.
Suggested Sections

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 lending arrangement

3. Definitions and Interpretation: Key terms used throughout the agreement and rules of interpretation

4. Loan of Securities: Core provisions regarding the lending and borrowing of securities

5. Delivery of Securities: Procedures and timing for delivering securities between parties

6. Collateral Requirements: Types of acceptable collateral, valuation methods, and maintenance requirements

7. Rights and Obligations: Ongoing responsibilities of both parties during the loan period

8. Income Payments and Corporate Actions: Treatment of dividends, rights issues, and other corporate events

9. Fees and Charges: Lending fees, payment terms, and other applicable charges

10. Tax Provisions: Tax obligations, withholding requirements, and gross-up provisions

11. Events of Default: Circumstances constituting default and consequences

12. Termination: Process for ending the agreement and returning securities

13. Representations and Warranties: Standard assurances from both parties

14. Indemnification: Protection against losses and liability provisions

15. General Provisions: Standard boilerplate clauses including notices, amendments, and governing law

Optional Sections

1. Market Disruption: Provisions dealing with market disruption events - include for volatile markets or sensitive securities

2. Securities Revaluation: Specific provisions for regular revaluation of securities - include for complex or volatile securities

3. Agency Provisions: Additional provisions when either party acts as agent - include when dealing with custodians or asset managers

4. Rehypothecation Rights: Rights to reuse borrowed securities - include if rehypothecation is permitted

5. Foreign Securities Provisions: Special provisions for international securities - include when dealing with non-Australian securities

6. Electronic Trading Platform: Provisions relating to electronic trading systems - include if using specific trading platforms

7. Set-off Rights: Additional set-off provisions - include for complex institutional relationships

Suggested Schedules

1. Schedule 1 - Eligible Securities: List of securities eligible for lending under the agreement

2. Schedule 2 - Approved Collateral: Types and characteristics of acceptable collateral

3. Schedule 3 - Fee Schedule: Detailed breakdown of all applicable fees and charges

4. Schedule 4 - Operating Procedures: Detailed procedures for loans, recalls, and settlements

5. Schedule 5 - Form of Loan Confirmation: Standard form for confirming individual loan transactions

6. Schedule 6 - Contact Details: List of authorized personnel and contact information

7. Appendix A - Standard Settlement Instructions: Banking and settlement details for both parties

8. Appendix B - Tax Documentation: Required tax forms and documentation

Authors

Alex Denne

Head of Growth (Open Source Law) @ Genie AI | 3 x UCL-Certified in Contract Law & Drafting | 4+ Years Managing 1M+ Legal Documents | Serial Founder & Legal AI Author

Linkedin in social icon imageX social icon image
alex.den.21@genieai.co
Relevant legal definitions
Acceptable Collateral
Agency Loan
Applicable Rate
Appropriate Market
ASIC
ASX
Authorised Representative
Base Currency
Business Day
Buy-in
Cash Collateral
Close of Business
Collateral
Collateral Margin
Collateral Value
Corporate Action
Default Market Value
Default Notice
Delivery
Dividend
Equivalent Collateral
Equivalent Securities
Event of Default
Ex-Division Date
Financial Products
Income
Income Payment Date
Income Record Date
Lending Fee
Loan
Loan Confirmation
Loaned Securities
Margin Call
Margin Percentage
Margin Transfer
Market Value
Manufactured Payment
Non-Cash Collateral
Notice of Exclusive Control
Notification Time
Payment Date
Posted Collateral
Principal
Recall Notice
Record Date
Reference Price
Rehypothecation
Related Party
Required Collateral Value
Securities
Settlement Date
Settlement System
Standard Settlement Time
Tax
Tax Event
Term
Termination Date
Trade Date
Transaction
Transfer
Valuation Date
Voting Rights
Clauses
Interpretation
Loan and Delivery
Title Transfer
Collateral Requirements
Margin Maintenance
Income Payments
Corporate Actions
Voting Rights
Fees and Charges
Tax Provisions
Representations and Warranties
Covenants
Events of Default
Close-out and Set-off
Termination
Market Disruption
Force Majeure
Assignment and Transfer
Confidentiality
Notices
Electronic Trading
Records and Documentation
Dispute Resolution
Governing Law
Severability
Entire Agreement
Amendments
Agency Provisions
Indemnification
Settlement Instructions
Rehypothecation Rights
Custody Arrangements
Counterparty Risk
Data Protection
Anti-Money Laundering
Foreign Securities
Regulatory Compliance
Reporting Requirements
Relevant Industries

Banking

Financial Services

Investment Management

Securities Trading

Asset Management

Hedge Funds

Pension Funds

Broker-Dealers

Insurance

Relevant Teams

Legal

Compliance

Trading

Operations

Risk Management

Securities Lending

Collateral Management

Treasury

Investment

Documentation

Settlement

Credit Risk

Portfolio Management

Relevant Roles

Securities Lending Trader

Collateral Manager

Legal Counsel

Risk Manager

Operations Manager

Compliance Officer

Portfolio Manager

Trading Director

Securities Operations Officer

Investment Officer

Documentation Specialist

Credit Risk Analyst

Chief Investment Officer

Treasury Manager

Settlement Officer

Industries
Corporations Act 2001 (Cth): Primary legislation governing corporations, securities, and financial products in Australia. Relevant for stock lending arrangements, disclosure requirements, and licensing obligations.
ASIC Market Integrity Rules: Rules governing securities lending and trading on Australian financial markets, including reporting requirements and conduct obligations.
Income Tax Assessment Act 1997 (Cth): Covers tax treatment of stock lending arrangements, including CGT implications and dividend payments during the loan period.
Australian Securities Lending Association (ASLA) Code of Guidance: Industry standard guidelines for securities lending in Australia, including best practices and standard documentation requirements.
Anti-Money Laundering and Counter-Terrorism Financing Act 2006: Compliance requirements for customer identification and transaction reporting in financial arrangements.
Personal Property Securities Act 2009 (Cth): Relevant for security interests created in stock lending arrangements and perfection requirements.
Competition and Consumer Act 2010 (Cth): Contains consumer protection provisions and fair trading requirements applicable to financial services.
Financial Sector (Collection of Data) Act 2001: Reporting requirements for financial institutions engaged in securities lending activities.
Teams

Employer, Employee, Start Date, Job Title, Department, Location, Probationary Period, Notice Period, Salary, Overtime, Vacation Pay, Statutory Holidays, Benefits, Bonus, Expenses, Working Hours, Rest Breaks,  Leaves of Absence, Confidentiality, Intellectual Property, Non-Solicitation, Non-Competition, Code of Conduct, Termination,  Severance Pay, Governing Law, Entire Agreemen

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