The Stock Exchange Agreement serves as the foundational document governing the relationship between the Philippine Stock Exchange and entities seeking to participate in securities trading on the exchange. This agreement is essential when a financial institution wants to become a trading member or when existing members need to update their trading relationships to reflect new regulations or market conditions. It comprehensively addresses crucial aspects such as trading rights, compliance with Philippine securities laws, capital requirements, risk management protocols, and operational procedures. The document must align with the Securities Regulation Code, SEC regulations, and PSE rules, while also incorporating international best practices in securities trading. The agreement is particularly important in the Philippine context, where foreign ownership restrictions and specific local regulatory requirements must be carefully considered and documented.
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1. Parties: Identification of the contracting parties including the stock exchange, member/broker, and any relevant parent companies
2. Background: Context of the agreement, including the stock exchange's authority to operate and the member's intention to participate in trading
3. Definitions: Key terms used throughout the agreement, including technical trading terms, regulatory references, and market-specific terminology
4. Membership Rights and Obligations: Core rights and responsibilities of the member, including trading privileges and compliance requirements
5. Trading Rules and Procedures: Detailed procedures for executing trades, order types, and trading hours
6. Compliance Requirements: Obligations to comply with securities laws, SEC regulations, and exchange rules
7. Fees and Charges: Structure and payment terms for membership fees, trading fees, and other charges
8. Risk Management: Requirements for maintaining capital adequacy, margin requirements, and risk controls
9. Default and Remedies: Consequences of default and available remedies for both parties
10. Term and Termination: Duration of the agreement and circumstances for termination
11. Confidentiality: Protection of confidential information and trade secrets
12. Dispute Resolution: Procedures for resolving disputes, including jurisdiction and governing law
13. General Provisions: Standard legal provisions including notices, amendments, and severability
1. Foreign Ownership Provisions: Required when the member involves foreign ownership, addressing compliance with Foreign Investments Act restrictions
2. Market Making Obligations: Included when the member will serve as a market maker for specific securities
3. Electronic Trading Systems: Detailed when the member will use specific electronic trading platforms or systems
4. Branch Office Operations: Required when the member operates multiple trading locations
5. Clearing and Settlement: Detailed provisions when the member performs its own clearing operations
6. Research Distribution: Included when the member provides research services
7. Block Trading Privileges: Special provisions for members authorized to conduct block trades
1. Schedule A - Fee Schedule: Detailed breakdown of all applicable fees, charges, and payment terms
2. Schedule B - Trading Parameters: Specific trading limits, position limits, and other operational parameters
3. Schedule C - Authorized Representatives: List of authorized traders and signatories with their respective powers
4. Schedule D - Technical Requirements: Technical specifications for connecting to trading systems
5. Schedule E - Compliance Procedures: Detailed procedures for regulatory reporting and compliance
6. Appendix 1 - Required Forms: Standard forms for trading, reporting, and compliance purposes
7. Appendix 2 - Risk Management Procedures: Detailed risk management protocols and procedures
8. Appendix 3 - Emergency Procedures: Protocols for system outages and market emergencies
Relevant legal definitions
Clauses
Relevant Industries
Financial Services
Securities Trading
Investment Banking
Capital Markets
Banking
Professional Services
Technology (FinTech)
Consulting
Asset Management
Corporate Finance
Relevant Teams
Legal
Compliance
Trading Operations
Risk Management
Regulatory Affairs
Settlement and Clearing
Market Operations
Corporate Governance
Information Technology
Internal Audit
Relevant Roles
Chief Executive Officer
Chief Compliance Officer
Head of Trading
Legal Counsel
Risk Manager
Operations Director
Trading Floor Manager
Compliance Manager
Securities Broker
Chief Legal Officer
Chief Operating Officer
Head of Market Operations
Regulatory Affairs Director
Trading Systems Manager
Settlement Officer
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