This Collateral Agreement template is designed for use under Dutch law in situations where parties need to establish security over financial assets to secure obligations. It is commonly used in financial transactions, trading relationships, and lending arrangements where financial collateral such as cash, securities, or other financial instruments serve as security. The document incorporates requirements from both Dutch civil law and European financial regulations, particularly the Financial Collateral Directive as implemented in the Netherlands. It is structured to create valid and enforceable security interests under Dutch law while providing operational flexibility for collateral management.
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1. Parties: Identification of the collateral provider and collateral taker
2. Background: Context of the agreement, including reference to any underlying obligations being secured
3. Definitions: Definitions of key terms used throughout the agreement
4. Grant of Security: Core provisions establishing the security interest over the collateral
5. Collateral Requirements: Specifications of eligible collateral types and required values
6. Perfection Requirements: Steps required to perfect the security interest under Dutch law
7. Representations and Warranties: Standard representations regarding authority, ownership of collateral, and absence of encumbrances
8. Maintenance of Collateral: Provisions for valuation, top-up requirements, and substitution rights
9. Rights and Obligations: Ongoing obligations of both parties regarding the collateral
10. Enforcement: Rights and procedures for enforcing security upon default
11. Events of Default: Circumstances triggering enforcement rights
12. Notices: Communication requirements and contact details
13. Governing Law and Jurisdiction: Confirmation of Dutch law governance and jurisdiction
1. Income and Voting Rights: Required when collateral includes securities with voting rights or income streams
2. Control Agreement: Needed when involving a custodian or account bank
3. Regulatory Compliance: Required for regulated entities or when specific regulatory requirements apply
4. Tax Provisions: Needed when tax implications of collateral transfers are significant
5. Close-out Netting: Optional provisions for financial institutions regarding netting arrangements
6. Multiple Currency Provisions: Required when collateral may be denominated in different currencies
7. Dispute Resolution: Alternative dispute resolution procedures if preferred over standard court jurisdiction
1. Schedule 1 - Eligible Collateral: Detailed specifications of acceptable types of collateral
2. Schedule 2 - Valuation Procedures: Methodology for valuing different types of collateral
3. Schedule 3 - Form of Notice: Standard forms for various notices under the agreement
4. Schedule 4 - Contact Details: Detailed contact information for both parties
5. Schedule 5 - Security Perfection Requirements: Specific requirements for different types of collateral
6. Appendix A - Form of Transfer Documents: Standard documentation for collateral transfers
7. Appendix B - Operating Procedures: Detailed operational procedures for collateral management
Authors
Relevant legal definitions
Clauses
Relevant Industries
Financial Services
Banking
Insurance
Investment Management
Asset Management
Securities Trading
Corporate Treasury
Pension Fund Management
Commodity Trading
Financial Technology
Relevant Teams
Legal
Treasury
Risk Management
Compliance
Operations
Trading
Credit
Documentation
Finance
Collateral Management
Relevant Roles
Legal Counsel
Treasury Manager
Risk Manager
Compliance Officer
Financial Director
Collateral Manager
Trade Operations Manager
Credit Risk Officer
Documentation Manager
Securities Operations Manager
Legal Operations Manager
Transaction Manager
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