This Margin Lending Agreement is designed for use in the Netherlands, establishing the legal framework for margin lending facilities between financial institutions and their clients. It is particularly relevant when a lender provides credit against a portfolio of financial instruments as collateral, requiring careful consideration of Dutch financial regulations and EU directives. The agreement addresses key aspects such as margin calculations, collateral requirements, and default procedures while ensuring compliance with the Dutch Financial Supervision Act (Wft) and European regulations including MiFID II. It is suitable for various lending scenarios, from institutional clients to retail investors, with appropriate regulatory safeguards and risk management provisions incorporated throughout.
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1. Parties: Identification of the lender and borrower, including their registered details and regulatory status
2. Background: Context of the agreement and relationship between parties
3. Definitions and Interpretation: Comprehensive definitions of terms used throughout the agreement, including financial terms and calculation methodologies
4. Facility and Purpose: Details of the margin lending facility, including maximum amount and permitted purposes
5. Conditions Precedent: Prerequisites that must be satisfied before the facility becomes available
6. Margin Requirements: Rules for calculating initial and maintenance margin requirements, including eligible collateral
7. Collateral Arrangements: Provisions regarding the posting, maintenance, and withdrawal of collateral
8. Interest and Fees: Interest calculation methodology, payment terms, and applicable fees
9. Margin Calls and Valuation: Procedures for margin calls, timing, and valuation of collateral
10. Representations and Warranties: Standard and specific representations and warranties from both parties
11. Covenants: Ongoing obligations of the borrower, including financial covenants and reporting requirements
12. Events of Default: Circumstances constituting default and consequences
13. Enforcement and Close-out: Rights and procedures following an event of default
14. Payment and Calculations: Payment mechanics, calculation periods, and currency provisions
15. Term and Termination: Duration of the agreement and termination rights
16. Miscellaneous: Standard boilerplate provisions including notices, amendments, and governing law
1. Syndication Provisions: Required when the facility may be syndicated, including transfer and participation rights
2. Multi-currency Provisions: Required when lending is available in multiple currencies
3. Client Classification: Required for retail clients under MiFID II, including appropriateness assessment
4. Additional Risk Disclosures: Enhanced disclosures required for retail clients or complex collateral arrangements
5. Securities Lending Provisions: Required when the agreement includes securities lending capabilities
6. Tax Provisions: Detailed tax provisions required for cross-border arrangements or specific tax structures
7. Data Protection: Enhanced data protection provisions required when dealing with retail clients or extensive personal data processing
1. Schedule 1 - Eligible Collateral: List of acceptable collateral types, haircuts, and concentration limits
2. Schedule 2 - Margin Calculations: Detailed methodology for calculating initial and maintenance margin requirements
3. Schedule 3 - Fee Schedule: Detailed breakdown of all applicable fees and charges
4. Schedule 4 - Form of Margin Call Notice: Standard form for margin call notifications
5. Schedule 5 - Conditions Precedent Documents: List of required documents and conditions to be satisfied
6. Schedule 6 - Contact Details: Authorized representatives and contact information for both parties
7. Appendix A - Risk Disclosures: Detailed risk warnings and disclosures required by regulation
8. Appendix B - Valuation Procedures: Detailed procedures for valuing different types of collateral
Authors
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Relevant Industries
Banking
Financial Services
Investment Management
Securities Trading
Asset Management
Wealth Management
Brokerage Services
Corporate Finance
Private Equity
Hedge Funds
Relevant Teams
Legal
Compliance
Risk Management
Credit
Trading
Operations
Treasury
Client Services
Documentation
Regulatory Reporting
Portfolio Management
Transaction Management
Collateral Management
Relevant Roles
Legal Counsel
Compliance Officer
Risk Manager
Credit Officer
Portfolio Manager
Relationship Manager
Trading Manager
Operations Manager
Financial Controller
Treasury Manager
Investment Advisor
Regulatory Reporting Officer
Documentation Specialist
Credit Risk Analyst
Client Services Manager
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