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Stock Management Agreement

Stock Management Agreement Template for New Zealand

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Key Requirements PROMPT example:

Stock Management Agreement

"I need a Stock Management Agreement for my fintech startup company that will be listing on the NZX in March 2025, with particular focus on electronic trading capabilities and automated reporting systems."

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Document background
The Stock Management Agreement serves as a crucial document for companies in New Zealand seeking to outsource or formalize their stock management operations. This agreement is particularly relevant when a company requires professional assistance in managing its share registry, coordinating stock transfers, maintaining shareholder records, and ensuring compliance with New Zealand's financial market regulations. The document becomes essential when companies grow beyond managing their own share registry or when listed on the NZX. It typically includes comprehensive provisions for electronic trading systems, regulatory compliance, reporting obligations, and security measures. The agreement must align with New Zealand's Companies Act 1993 and Financial Markets Conduct Act 2013, making it a vital tool for corporate governance and shareholder management.
Suggested Sections

1. Parties: Identification of all parties to the agreement, including the company and the stock manager

2. Background: Context of the agreement, including the company's need for stock management services and the manager's qualifications

3. Definitions: Defined terms used throughout the agreement

4. Appointment and Scope: Formal appointment of the stock manager and detailed scope of services

5. Term and Renewal: Duration of the agreement and conditions for renewal

6. Stock Manager's Obligations: Detailed responsibilities and duties of the stock manager

7. Company's Obligations: Responsibilities and duties of the company

8. Fees and Payment: Fee structure, payment terms, and expenses

9. Reporting Requirements: Required reports, frequency, and content of reporting

10. Compliance and Records: Regulatory compliance requirements and record-keeping obligations

11. Confidentiality: Protection of confidential information and trade secrets

12. Liability and Indemnification: Limitation of liability and mutual indemnification provisions

13. Termination: Grounds for termination and termination procedures

14. General Provisions: Standard boilerplate clauses including notices, amendments, governing law, etc.

Optional Sections

1. Performance Metrics: Specific KPIs and performance standards - include when the parties want to establish measurable targets

2. Share Trading Windows: Specific periods for permitted trading - include when dealing with listed companies or insider trading concerns

3. International Considerations: Cross-border requirements and compliance - include when stock management involves multiple jurisdictions

4. Electronic Trading Provisions: Rules for electronic trading platforms - include when electronic trading systems are used

5. Disaster Recovery: Business continuity and disaster recovery procedures - include for high-value or critical stock management services

6. Sub-contracting: Terms for engaging sub-contractors - include when sub-contracting is contemplated

7. Insurance Requirements: Specific insurance coverage requirements - include for high-value portfolios

Suggested Schedules

1. Schedule 1 - Fee Schedule: Detailed breakdown of all fees, charges, and commission structures

2. Schedule 2 - Service Level Agreement: Specific service standards, response times, and performance metrics

3. Schedule 3 - Reporting Templates: Standard formats for required reports and notifications

4. Schedule 4 - Authorized Personnel: List of authorized representatives from both parties

5. Schedule 5 - Stock Management Procedures: Detailed operational procedures and protocols

6. Appendix A - Compliance Checklist: Regulatory compliance requirements and verification procedures

7. Appendix B - System Requirements: Technical specifications for any required software or systems

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
Agreement
Applicable Laws
Authorized Representative
Board
Business Day
Company
Confidential Information
Corporate Actions
Dividend
Electronic Trading Platform
Fees
Financial Year
FMA
Force Majeure Event
Intellectual Property Rights
Management Services
Material Adverse Effect
NZX
Ordinary Shares
Performance Standards
Permitted Purpose
Personal Information
Prescribed Form
Register
Related Company
Relevant Interest
Reporting Period
Securities
Services
Share Certificate
Shareholder
Share Transfer
Stock Manager
Stock Management System
Term
Trading Day
Trading Window
Transaction
Transfer Form
Working Hours
Clauses
Appointment
Services
Term and Renewal
Fees and Expenses
Payment Terms
Service Standards
Performance Obligations
Reporting Requirements
Record Keeping
Share Registry Maintenance
Trading Procedures
Corporate Actions
Compliance
Confidentiality
Data Protection
Intellectual Property
Warranties
Representations
Indemnification
Limitation of Liability
Force Majeure
Insurance
Dispute Resolution
Termination
Exit Procedures
Assignment
Subcontracting
Notices
Governing Law
Entire Agreement
Amendment
Severability
Electronic Trading
System Access
Security Measures
Business Continuity
Audit Rights
Relevant Industries

Financial Services

Investment Management

Corporate Services

Securities Trading

Banking

Professional Services

Technology (FinTech)

Asset Management

Wealth Management

Stock Broking

Relevant Teams

Legal

Finance

Corporate Services

Compliance

Risk Management

Treasury

Operations

Corporate Governance

Investor Relations

Administrative Services

Relevant Roles

Chief Financial Officer

Company Secretary

Legal Counsel

Compliance Officer

Stock Registry Manager

Corporate Services Manager

Investment Manager

Financial Controller

Share Plan Administrator

Corporate Governance Manager

Risk Manager

Treasury Manager

Operations Director

Board Secretary

Industries
Companies Act 1993: Primary legislation governing company operations in New Zealand, including share issuance, transfer, and shareholder rights
Financial Markets Conduct Act 2013: Regulates financial markets and financial products, including requirements for share trading and disclosure obligations
Financial Markets Authority Act 2011: Establishes the Financial Markets Authority and its powers to oversee financial markets, including stock trading
Income Tax Act 2007: Contains provisions relating to the taxation of share transactions and dividend payments
Contract and Commercial Law Act 2017: Provides the general framework for contract law in New Zealand, affecting how stock management agreements are formed and enforced
Takeovers Act 1993: Regulates corporate takeovers and ensures fair treatment of shareholders during significant stock transactions
Fair Trading Act 1986: Ensures fair trading practices and prohibits misleading conduct in relation to financial products and services
Personal Property Securities Act 1999: Relevant for any security interests created over shares or stock
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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