The Stock Management Agreement serves as a crucial legal instrument for companies in the UAE seeking professional management of their stock and securities. This document is essential when a company needs to delegate the administration and management of its shares to a specialized service provider, particularly in cases involving listed companies, complex shareholding structures, or international trading requirements. The agreement ensures compliance with UAE federal laws, including Federal Law No. 2 of 2015 (Commercial Companies Law) and Securities and Commodities Authority (SCA) regulations, while establishing clear procedures for stock administration, trading, record-keeping, and reporting. It's particularly relevant for companies listed on UAE exchanges or those planning significant corporate actions, providing a framework for efficient stock management while protecting the interests of all stakeholders.
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1. Parties: Identification of the parties: typically the company, stock manager, and any other relevant stakeholders
2. Background: Context of the agreement, including company details and purpose of the stock management arrangement
3. Definitions: Key terms used throughout the agreement, including technical and legal terminology
4. Appointment and Authority: Formal appointment of the stock manager and scope of their authority
5. Services and Responsibilities: Detailed description of stock management services to be provided
6. Compliance Requirements: Obligations to comply with UAE laws, SCA regulations, and relevant market rules
7. Record Keeping: Requirements for maintaining accurate stock records and documentation
8. Reporting Obligations: Regular reporting requirements and communication protocols
9. Fees and Expenses: Payment terms, fee structure, and expense allocation
10. Confidentiality: Provisions for handling confidential information and trade secrets
11. Term and Termination: Duration of agreement and circumstances for termination
12. Liability and Indemnification: Scope of liability and indemnification provisions
13. Governing Law and Jurisdiction: Specification of UAE law application and jurisdiction
14. Notices: Process for formal communications between parties
15. General Provisions: Standard boilerplate clauses including amendment, assignment, and severability
1. International Trading Provisions: Required when stock management involves international markets or cross-border transactions
2. Electronic Trading Systems: Needed when specific electronic trading platforms or systems will be used
3. Multiple Share Classes: Required when managing different classes of shares with varying rights
4. Shareholder Rights Management: Necessary when stock manager handles shareholder voting rights or dividend distributions
5. Free Zone Specific Provisions: Required when company operates within UAE free zones
6. Islamic Finance Compliance: Needed when stock management must comply with Islamic finance principles
7. Risk Management Procedures: Optional detailed risk management protocols for complex portfolios
8. Business Continuity: Optional provisions for ensuring continuous operation in emergency situations
1. Schedule 1 - Service Level Agreement: Detailed metrics and standards for stock management services
2. Schedule 2 - Fee Schedule: Detailed breakdown of all fees, charges, and payment terms
3. Schedule 3 - Authorized Personnel: List of authorized representatives and their powers
4. Schedule 4 - Reporting Templates: Standard formats for regular reports and notifications
5. Schedule 5 - Compliance Procedures: Detailed procedures for ensuring regulatory compliance
6. Appendix A - Power of Attorney: Legal authorization for stock manager to act on company's behalf
7. Appendix B - Technical Requirements: Technical specifications for systems and interfaces
8. Appendix C - Emergency Procedures: Procedures for handling emergency situations
Relevant legal definitions
Clauses
Relevant Industries
Financial Services
Banking
Investment Management
Securities Trading
Corporate Services
Professional Services
Technology (FinTech)
Consulting
Asset Management
Capital Markets
Relevant Teams
Legal
Finance
Compliance
Corporate Governance
Treasury
Operations
Risk Management
Corporate Services
Shareholder Relations
Executive Management
Investment
Administration
Relevant Roles
Chief Executive Officer
Chief Financial Officer
Company Secretary
Legal Counsel
Compliance Officer
Stock Exchange Manager
Investment Manager
Corporate Governance Officer
Financial Controller
Treasury Manager
Operations Director
Risk Manager
Corporate Services Manager
Shareholder Relations Manager
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