The Collateral Management Agreement serves as a critical legal document in Hong Kong's financial markets, establishing the framework for securing financial obligations through collateral arrangements. This agreement is essential when financial institutions need to manage risk exposure through collateral posting and monitoring, particularly in securities lending, derivatives trading, and secured lending transactions. The document, governed by Hong Kong law, details the appointment of collateral managers, specifies eligible collateral types, outlines valuation methodologies, and establishes procedures for collateral movements, substitutions, and enforcement. It incorporates requirements from Hong Kong's regulatory framework, including the Securities and Futures Ordinance and Banking Ordinance, ensuring compliance with local regulatory standards while providing legal certainty for all parties involved.
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1. Parties: Identification of the contracting parties including the collateral provider, collateral taker, and any custodian or third-party agent
2. Background: Context of the agreement and relationship between the parties
3. Definitions and Interpretation: Key terms used throughout the agreement and rules for interpretation
4. Appointment and Scope: Formal appointment of the collateral manager and scope of services
5. Collateral Requirements: Types of eligible collateral, initial margin requirements, and maintenance margin requirements
6. Delivery and Settlement: Procedures for delivering, transferring, and settling collateral
7. Valuation: Methods and frequency of collateral valuation, pricing sources, and dispute resolution
8. Substitution Rights: Rights and procedures for substituting collateral
9. Custody Arrangements: Requirements for holding and safekeeping of collateral
10. Rights and Obligations: Detailed responsibilities of each party
11. Events of Default: Circumstances constituting default and consequences
12. Enforcement Rights: Rights and procedures following an event of default
13. Representations and Warranties: Standard legal assurances from each party
14. Fees and Expenses: Payment terms for services and cost allocation
15. Liability and Indemnification: Limitations of liability and indemnification obligations
16. Termination: Circumstances and procedures for terminating the agreement
17. Confidentiality: Obligations regarding confidential information
18. Notices: Communication requirements and contact details
19. Governing Law and Jurisdiction: Choice of law and dispute resolution provisions
20. General Provisions: Standard boilerplate clauses including amendments, assignment, and severability
1. Rehypothecation Rights: Terms allowing reuse of collateral - include when parties agree to permit rehypothecation
2. Income and Voting Rights: Treatment of dividends, interest, and voting rights - include for securities collateral
3. Tax Provisions: Specific tax considerations and obligations - include for cross-border arrangements
4. Regulatory Compliance: Specific regulatory requirements - include when parties are regulated entities
5. Force Majeure: Provisions for extraordinary events - include based on market practice
6. Electronic Trading and Systems: Terms for electronic collateral management - include when using electronic platforms
7. Multiple Currency Provisions: Rules for handling multiple currencies - include for cross-currency arrangements
8. Insurance Requirements: Insurance obligations for collateral - include for specific types of assets
1. Schedule 1 - Eligible Collateral: Detailed list of acceptable collateral types and any specific conditions or haircuts
2. Schedule 2 - Valuation Procedures: Detailed methodology for valuing different types of collateral
3. Schedule 3 - Fee Schedule: Detailed breakdown of fees, charges, and payment terms
4. Schedule 4 - Operating Procedures: Detailed operational procedures including cut-off times and delivery instructions
5. Schedule 5 - Notice Details: Contact information and communication procedures for all parties
6. Schedule 6 - Form of Reports: Templates for required reports and notifications
7. Appendix A - Account Details: Custody and cash account information
8. Appendix B - Service Level Requirements: Detailed service standards and performance metrics
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