The Tri Party Collateral Agreement is essential in Philippine financial markets where complex collateral arrangements require independent third-party administration. This document is typically used when parties need a sophisticated collateral management structure, particularly in securities lending, repurchase agreements, or secured financing transactions. It establishes the framework for the Collateral Agent to act as an independent intermediary, managing collateral on behalf of the provider and receiver while ensuring compliance with Philippine banking and securities regulations. The agreement includes detailed provisions for collateral eligibility, valuation procedures, margin maintenance, and default handling, all within the context of Philippine law and market practice. It's particularly relevant in scenarios requiring enhanced security and operational efficiency in collateral management.
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1. Parties: Identifies and provides details of the three parties: typically the Collateral Provider, Collateral Receiver, and Collateral Agent/Custodian
2. Background: Sets out the context of the agreement and the relationship between the parties
3. Definitions: Defines key terms used throughout the agreement
4. Appointment of Collateral Agent: Details the appointment, role, and responsibilities of the collateral agent
5. Collateral Requirements: Specifies the types of eligible collateral, initial margin requirements, and maintenance requirements
6. Custody Arrangements: Details how the collateral will be held, maintained, and segregated
7. Valuation and Margin: Establishes methods for valuation of collateral and margin calculation procedures
8. Rights and Obligations: Details the specific rights and obligations of each party
9. Substitution and Release: Procedures for substituting collateral and conditions for its release
10. Events of Default: Defines events of default and their consequences
11. Enforcement Rights: Specifies the rights and procedures for enforcing security upon default
12. Fees and Expenses: Details all fees payable and allocation of expenses
13. Representations and Warranties: Standard and specific representations and warranties from each party
14. Liability and Indemnification: Covers liability limitations and indemnification obligations
15. Termination: Procedures and grounds for termination of the agreement
16. Governing Law and Jurisdiction: Specifies applicable law and jurisdiction for disputes
17. Miscellaneous: Standard boilerplate provisions including notices, amendments, and assignment
1. Tax Provisions: Detailed tax considerations and obligations - include when tax implications are significant or cross-border elements exist
2. Regulatory Compliance: Specific regulatory requirements and compliance procedures - include when parties are regulated entities
3. Electronic Trading Platform: Provisions relating to use of electronic platforms - include when collateral management involves electronic trading systems
4. Business Continuity: Procedures for business interruption - include for critical service arrangements
5. Information Rights: Detailed reporting and information access rights - include when complex reporting requirements exist
6. Force Majeure: Provisions for extraordinary events - include when operating in volatile markets or regions
1. Schedule 1 - Eligible Collateral: Detailed list of acceptable collateral types and their respective haircuts
2. Schedule 2 - Valuation Procedures: Detailed methodology for valuing different types of collateral
3. Schedule 3 - Fee Schedule: Detailed breakdown of all fees and charges
4. Schedule 4 - Operating Procedures: Detailed operational procedures including cut-off times and delivery instructions
5. Schedule 5 - Contact Details: Contact information for authorized representatives of all parties
6. Schedule 6 - Forms: Standard forms for notices, instructions, and other communications
7. Appendix A - Service Level Agreement: Detailed service levels and performance metrics
8. Appendix B - Security Procedures: Security protocols for collateral handling and communications
Authors
Relevant legal definitions
Clauses
Relevant Industries
Banking
Financial Services
Securities and Investment
Asset Management
Corporate Banking
Investment Banking
Trust Services
Capital Markets
Securities Trading
Fund Management
Relevant Teams
Legal
Treasury
Risk Management
Compliance
Operations
Securities Operations
Credit Risk
Portfolio Management
Custody Operations
Investment Management
Transaction Management
Client Services
Financial Control
Relevant Roles
Chief Financial Officer
Treasury Manager
Collateral Manager
Risk Manager
Legal Counsel
Compliance Officer
Operations Manager
Portfolio Manager
Credit Risk Officer
Securities Operations Officer
Relationship Manager
Transaction Manager
Custody Operations Manager
Investment Officer
Fund Manager
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