Security Loan Agreement

Security Loan Agreement Template for Switzerland

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Key Requirements PROMPT example:

"I need a Security Loan Agreement under Swiss law for a bilateral arrangement between our bank (as lender) and a major Swiss broker-dealer (as borrower), to be effective from March 1, 2025, covering European equity securities with cash collateral only."

Document background

The Security Loan Agreement is a fundamental document in securities financing transactions under Swiss law, enabling financial institutions to temporarily transfer securities while maintaining appropriate risk management and regulatory compliance. This agreement is essential when parties wish to engage in securities lending activities in Switzerland, whether for market making, short selling coverage, or collateral management purposes. The document incorporates requirements from Swiss financial regulations, including FMIA, FISA, and relevant FINMA directives, while addressing operational aspects such as transfer mechanisms, collateral management, corporate actions, and default procedures. The Security Loan Agreement is particularly crucial in the Swiss financial market, where sophisticated securities lending activities are common among institutional investors, banks, and other financial intermediaries.

Suggested Sections

1. Parties: Identification of the lender and borrower, including their legal status and registered addresses

2. Background: Context of the agreement and brief description of the parties' intentions

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

4. Loans of Securities: Core provisions governing the lending and borrowing of securities, including initiation process and confirmation requirements

5. Transfer of Securities: Mechanics and procedures for transferring securities between parties

6. Collateral Requirements: Terms regarding posting, maintaining, and returning collateral, including margin requirements

7. Income and Corporate Actions: Treatment of dividends, interest, rights issues and other corporate actions affecting loaned securities

8. Fees and Charges: Lending fees, rates, and payment mechanisms

9. Tax Provisions: Treatment of withholding tax and other tax implications

10. Representations and Warranties: Standard and specific representations made by each party

11. Events of Default: Circumstances constituting default and consequences thereof

12. Termination: Provisions for termination of loans and the agreement

13. Set-off Rights: Rights of set-off between parties

14. Governing Law and Jurisdiction: Swiss law as governing law and jurisdiction provisions

Optional Sections

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

2. Netting Provisions: Detailed netting arrangements, if parties agree to net exposures

3. Special Custody Arrangements: Required when specific custody arrangements differ from standard practice

4. Electronic Trading Provisions: When parties use electronic trading platforms for securities lending

5. Force Majeure: Specific provisions for market disruption events

6. Additional Tax Provisions: Required for cross-border transactions or specific tax structures

7. Central Counterparty Provisions: When transactions are cleared through a central counterparty

Suggested Schedules

1. Schedule 1 - Eligible Securities: List and characteristics of securities eligible for lending

2. Schedule 2 - Eligible Collateral: Acceptable forms of collateral and associated haircuts

3. Schedule 3 - Fee Schedule: Detailed fee calculations and rates

4. Schedule 4 - Operating Procedures: Detailed operational procedures including cut-off times and delivery instructions

5. Schedule 5 - Forms of Notices: Standard forms for borrowing requests, recalls, and other notices

6. Schedule 6 - Contact Details: Contact information for operational and legal notices

7. Appendix A - Service Level Agreement: Detailed service levels and operational requirements

8. Appendix B - Risk Disclosure: Required risk disclosures under Swiss regulations

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

alex.den.21@genieai.co

Relevant legal definitions

Clauses

Relevant Industries

Banking

Investment Management

Securities Trading

Asset Management

Hedge Funds

Pension Funds

Insurance

Broker-Dealers

Financial Services

Investment Banking

Relevant Teams

Legal

Compliance

Risk Management

Securities Trading

Operations

Settlement

Credit Risk

Client Relations

Product Management

Financial Control

Regulatory Reporting

Collateral Management

Portfolio Management

Relevant Roles

Securities Lending Trader

Risk Manager

Legal Counsel

Compliance Officer

Operations Manager

Portfolio Manager

Collateral Manager

Trading Desk Manager

Securities Operations Officer

Financial Controller

Credit Risk Officer

Regulatory Reporting Analyst

Settlement Officer

Relationship Manager

Product Manager - Securities Finance

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