The Security Lending Agreement serves as the primary contractual framework for securities lending transactions in the Australian market. It is utilized when institutional investors wish to temporarily transfer securities to borrowers in exchange for collateral, typically for purposes such as short selling, covering settlement failures, or supporting trading strategies. The agreement incorporates Australian regulatory requirements, including those under the Corporations Act 2001, ASIC Market Integrity Rules, and relevant prudential standards. It details the mechanics of securities transfers, collateral management, corporate actions, income payments, and default handling, while ensuring compliance with Australian financial services laws and market conventions.
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1. Parties: Identification of the lender and borrower, including registration details and capacity
2. Background: Context of the agreement and general intention of the parties
3. Definitions and Interpretation: Comprehensive definitions of terms used throughout the agreement and interpretation rules
4. Securities Lending Arrangement: Core provisions governing the lending and borrowing of securities
5. Collateral Requirements: Specifications for acceptable collateral, valuation methods, and maintenance requirements
6. Delivery and Redelivery: Procedures and timing for the transfer of securities and collateral
7. Income and Corporate Actions: Treatment of dividends, voting rights, and other corporate events
8. Margin Maintenance: Process for calculating and maintaining margin requirements
9. Events of Default: Definition of default events and consequences
10. Close-out and Set-off: Procedures for termination and netting arrangements
11. Representations and Warranties: Standard and specific representations by both parties
12. Tax Provisions: Treatment of tax obligations and manufactured payments
13. General Provisions: Standard clauses including notices, amendments, and governing law
1. Agency Provisions: Required when either party acts as agent for underlying clients
2. Custody Arrangements: Needed when third-party custodians are involved
3. Electronic Trading Platform: Include when transactions will be executed through specific trading platforms
4. Credit Support: Additional credit support provisions beyond standard collateral requirements
5. Tri-Party Arrangements: Required when using tri-party collateral management services
6. Special Transaction Types: For specific types of securities lending transactions (e.g., term loans)
7. Foreign Securities Provisions: Required for cross-border lending arrangements
1. Schedule A - Eligible Securities: List of securities eligible for lending under the agreement
2. Schedule B - Eligible Collateral: Specified types of acceptable collateral and applicable haircuts
3. Schedule C - Operational Procedures: Detailed procedures for borrowing requests, recalls, and returns
4. Schedule D - Fee Schedule: Lending fees, rebate rates, and other applicable charges
5. Schedule E - Contact Details: List of authorized personnel and contact information
6. Schedule F - Form of Loan Confirmation: Standard form for confirming individual lending transactions
7. Appendix 1 - Tax Documentation: Required tax forms and documentation
8. Appendix 2 - Service Level Agreement: Detailed operational requirements and performance standards
Authors
Relevant legal definitions
Clauses
Relevant Industries
Financial Services
Banking
Investment Management
Securities Trading
Asset Management
Hedge Funds
Insurance
Superannuation
Broker-Dealers
Relevant Teams
Legal
Compliance
Risk Management
Trading
Operations
Settlement
Credit
Treasury
Portfolio Management
Investment
Securities Finance
Relevant Roles
Securities Lending Trader
Portfolio Manager
Risk Manager
Legal Counsel
Compliance Officer
Operations Manager
Collateral Manager
Settlement Officer
Credit Risk Analyst
Trading Desk Manager
Chief Investment Officer
Head of Securities Finance
Treasury Manager
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