The Stock Management Agreement serves as a crucial document for companies in New Zealand seeking to outsource or formalize their stock management operations. This agreement is particularly relevant when a company requires professional assistance in managing its share registry, coordinating stock transfers, maintaining shareholder records, and ensuring compliance with New Zealand's financial market regulations. The document becomes essential when companies grow beyond managing their own share registry or when listed on the NZX. It typically includes comprehensive provisions for electronic trading systems, regulatory compliance, reporting obligations, and security measures. The agreement must align with New Zealand's Companies Act 1993 and Financial Markets Conduct Act 2013, making it a vital tool for corporate governance and shareholder management.
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1. Parties: Identification of all parties to the agreement, including the company and the stock manager
2. Background: Context of the agreement, including the company's need for stock management services and the manager's qualifications
3. Definitions: Defined terms used throughout the agreement
4. Appointment and Scope: Formal appointment of the stock manager and detailed scope of services
5. Term and Renewal: Duration of the agreement and conditions for renewal
6. Stock Manager's Obligations: Detailed responsibilities and duties of the stock manager
7. Company's Obligations: Responsibilities and duties of the company
8. Fees and Payment: Fee structure, payment terms, and expenses
9. Reporting Requirements: Required reports, frequency, and content of reporting
10. Compliance and Records: Regulatory compliance requirements and record-keeping obligations
11. Confidentiality: Protection of confidential information and trade secrets
12. Liability and Indemnification: Limitation of liability and mutual indemnification provisions
13. Termination: Grounds for termination and termination procedures
14. General Provisions: Standard boilerplate clauses including notices, amendments, governing law, etc.
1. Performance Metrics: Specific KPIs and performance standards - include when the parties want to establish measurable targets
2. Share Trading Windows: Specific periods for permitted trading - include when dealing with listed companies or insider trading concerns
3. International Considerations: Cross-border requirements and compliance - include when stock management involves multiple jurisdictions
4. Electronic Trading Provisions: Rules for electronic trading platforms - include when electronic trading systems are used
5. Disaster Recovery: Business continuity and disaster recovery procedures - include for high-value or critical stock management services
6. Sub-contracting: Terms for engaging sub-contractors - include when sub-contracting is contemplated
7. Insurance Requirements: Specific insurance coverage requirements - include for high-value portfolios
1. Schedule 1 - Fee Schedule: Detailed breakdown of all fees, charges, and commission structures
2. Schedule 2 - Service Level Agreement: Specific service standards, response times, and performance metrics
3. Schedule 3 - Reporting Templates: Standard formats for required reports and notifications
4. Schedule 4 - Authorized Personnel: List of authorized representatives from both parties
5. Schedule 5 - Stock Management Procedures: Detailed operational procedures and protocols
6. Appendix A - Compliance Checklist: Regulatory compliance requirements and verification procedures
7. Appendix B - System Requirements: Technical specifications for any required software or systems
Relevant legal definitions
Clauses
Relevant Industries
Financial Services
Investment Management
Corporate Services
Securities Trading
Banking
Professional Services
Technology (FinTech)
Asset Management
Wealth Management
Stock Broking
Relevant Teams
Legal
Finance
Corporate Services
Compliance
Risk Management
Treasury
Operations
Corporate Governance
Investor Relations
Administrative Services
Relevant Roles
Chief Financial Officer
Company Secretary
Legal Counsel
Compliance Officer
Stock Registry Manager
Corporate Services Manager
Investment Manager
Financial Controller
Share Plan Administrator
Corporate Governance Manager
Risk Manager
Treasury Manager
Operations Director
Board Secretary
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