The Tri-Party Collateral Agreement is essential for financial institutions operating in the Canadian market who require efficient and secure collateral management services. This agreement is typically used when parties wish to optimize their collateral management operations while ensuring proper segregation and handling of assets. It becomes particularly relevant in securities financing transactions, secured lending, and derivatives trading where complex collateral arrangements are necessary. The document addresses specific Canadian regulatory requirements, including compliance with federal financial regulations and provincial securities laws. It details the appointment and duties of the tri-party agent, collateral eligibility criteria, valuation methodologies, and operational procedures. This agreement is crucial for institutions seeking to reduce operational risk and enhance efficiency in their collateral management processes while maintaining compliance with Canadian legal and regulatory frameworks.
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1. Parties: Identification of the three parties: collateral provider, collateral taker, and tri-party agent
2. Background: Context of the agreement and relationship between parties
3. Definitions and Interpretation: Definitions of key terms and interpretation rules
4. Appointment of Tri-Party Agent: Terms of appointment and scope of tri-party agent's duties
5. Collateral Eligibility: Criteria for eligible collateral and composition rules
6. Collateral Valuation: Methods and timing of collateral valuation
7. Collateral Transfer and Settlement: Procedures for transferring collateral and settlement processes
8. Margin Requirements: Calculation and maintenance of margin requirements
9. Substitution Rights: Rules and procedures for collateral substitution
10. Income and Corporate Actions: Treatment of income payments and corporate actions on collateral
11. Default Events: Definition of default events and consequences
12. Rights and Remedies: Parties' rights and remedies upon default
13. Fees and Expenses: Fee structure and payment obligations
14. Representations and Warranties: Standard representations and warranties from all parties
15. Liability and Indemnification: Limitation of liability and indemnification provisions
16. Termination: Termination events and procedures
17. Notices: Communication requirements and contact details
18. Governing Law and Jurisdiction: Applicable law and jurisdiction for disputes
19. General Provisions: Standard boilerplate clauses including amendments, assignments, etc.
1. Tax Provisions: Specific tax-related provisions if cross-border elements exist
2. Business Hours and Processing Timeline: Detailed operational timelines if not covered in schedules
3. Account Structure: Detailed account setup if complex account structures are needed
4. Rehypothecation Rights: If rehypothecation of collateral is permitted
5. Electronic Trading and Communication Systems: If specific electronic platforms or systems are used
6. Business Continuity: Specific provisions for business continuity and disaster recovery
7. Regulatory Compliance: Specific regulatory compliance requirements if needed
8. Foreign Exchange Provisions: If multiple currencies are involved in collateral arrangements
1. Schedule 1 - Eligible Collateral and Haircuts: Detailed list of eligible collateral types and applicable haircuts
2. Schedule 2 - Fee Schedule: Detailed breakdown of all fees and charges
3. Schedule 3 - Service Level Agreement: Operational service levels and performance metrics
4. Schedule 4 - Account Details: Specific account information for all parties
5. Schedule 5 - Authorized Persons: List of authorized signatories and operators
6. Schedule 6 - Operating Procedures: Detailed operational procedures and workflows
7. Schedule 7 - Forms and Notices: Standard forms and notice templates
8. Appendix A - Valuation Methodology: Detailed explanation of valuation methods and sources
9. Appendix B - Reporting Requirements: Specifications for required reports and their frequency
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