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Share Loan Agreement for Switzerland

Share Loan Agreement Template for Switzerland

A comprehensive legal agreement governed by Swiss law that establishes the terms and conditions for the temporary transfer of shares from a lender to a borrower in exchange for collateral. The agreement includes detailed provisions for the lending mechanism, collateral requirements, rights and obligations of parties, and regulatory compliance under Swiss financial market regulations. It incorporates specific requirements under Swiss securities law, including FINMA regulations and the Federal Act on Financial Market Infrastructures, while addressing risk management, corporate actions, and settlement procedures.

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Share Loan Agreement

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What is a Share Loan Agreement?

The Share Loan Agreement is a sophisticated financial instrument used in the Swiss market to facilitate securities lending transactions between institutional parties. This document is essential when parties wish to temporarily transfer ownership of shares while maintaining economic exposure to the securities. The agreement is structured to comply with Swiss financial market regulations, including FINMA requirements and the Federal Act on Financial Market Infrastructures. It details the lending mechanics, collateral arrangements, corporate action treatments, and regulatory reporting obligations. The Share Loan Agreement is particularly important for market making, short selling coverage, and settlement failure prevention, while ensuring adherence to Swiss regulatory requirements for securities lending transactions.

What sections should be included in a Share Loan Agreement?

1. Parties: Identification of the lender and borrower, including their registered details and regulatory status

2. Background: Context of the agreement and brief description of the transaction structure

3. Definitions and Interpretation: Definitions of key terms used throughout the agreement and interpretation rules

4. Loans of Securities: Core provisions governing the lending and borrowing of shares, including loan mechanics and settlement

5. Collateral Arrangements: Requirements for posting and maintaining collateral, including types, valuation, and margin calls

6. Payments and Deliveries: Mechanisms for transferring securities, collateral, and other payments

7. Rights and Obligations: Key rights and obligations of both parties, including voting rights and corporate actions

8. Events of Default: Definition of events of default and their consequences

9. Close-out and Set-off: Procedures for early termination and settlement of obligations

10. Representations and Warranties: Standard representations and warranties from both parties

11. Tax Provisions: Treatment of taxes, including withholding tax and manufactured payments

12. Regulatory Compliance: Obligations relating to regulatory requirements and reporting

13. General Provisions: Standard contractual provisions including notices, amendments, and governing law

What sections are optional to include in a Share Loan Agreement?

1. Agency Provisions: Required when either party acts as agent for underlying principals

2. Credit Support: Additional credit support arrangements beyond standard collateral requirements

3. Custody Arrangements: Specific provisions for custody of securities or collateral through third-party custodians

4. Electronic Trading Platform: Terms for using electronic platforms for trading and settlement

5. Market Disruption: Provisions dealing with market disruption events and their consequences

6. Non-Swiss Securities: Additional provisions for lending of non-Swiss securities

7. Tri-party Arrangements: Terms for involving a tri-party collateral agent

What schedules should be included in a Share Loan Agreement?

1. Schedule 1 - Form of Loan Confirmation: Template for confirming individual loan transactions

2. Schedule 2 - Eligible Securities: List and characteristics of securities eligible for lending

3. Schedule 3 - Eligible Collateral: Acceptable forms of collateral and applicable haircuts

4. Schedule 4 - Agency Terms: Detailed terms for agency relationships if applicable

5. Schedule 5 - Contact Details: Contact information for notices and operational matters

6. Schedule 6 - Regulatory Reporting Requirements: Details of reporting obligations under Swiss law

7. Appendix A - Operating Procedures: Detailed operational procedures for loans and collateral management

8. Appendix B - Tax Documentation: Required tax forms and procedures

Authors

Alex Denne

Head of Growth (Open Source Law) @ Ƶ | 3 x UCL-Certified in Contract Law & Drafting | 4+ Years Managing 1M+ Legal Documents | Serial Founder & Legal AI Author

Jurisdiction

Switzerland

Publisher

Ƶ

Document Type

Loan Agreement

Sector

Banking

Cost

Free to use
Relevant legal definitions


































































Clauses






































Relevant Industries

Banking

Financial Services

Investment Management

Securities Trading

Asset Management

Hedge Funds

Pension Funds

Insurance

Wealth Management

Private Banking

Relevant Teams

Legal

Compliance

Risk Management

Securities Operations

Trading

Portfolio Management

Collateral Management

Settlement

Documentation

Treasury

Regulatory Reporting

Middle Office

Front Office

Back Office

Relevant Roles

Legal Counsel

Securities Operations Manager

Compliance Officer

Risk Manager

Trading Manager

Portfolio Manager

Collateral Manager

Securities Lending Trader

Settlement Officer

Documentation Specialist

Chief Legal Officer

Head of Trading

Treasury Manager

Operations Director

Regulatory Reporting Officer

Industries








Teams

Employer, Employee, Start Date, Job Title, Department, Location, Probationary Period, Notice Period, Salary, Overtime, Vacation Pay, Statutory Holidays, Benefits, Bonus, Expenses, Working Hours, Rest Breaks,  Leaves of Absence, Confidentiality, Intellectual Property, Non-Solicitation, Non-Competition, Code of Conduct, Termination,  Severance Pay, Governing Law, Entire Agreemen

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