The Stock Borrowing And Lending Agreement (SBLA) is a fundamental document used in Hong Kong's financial markets to facilitate securities lending transactions. It is essential for market participants engaging in short selling, market making, settlement coverage, and collateral management. The agreement is structured to comply with Hong Kong regulatory requirements, particularly the Securities and Futures Ordinance and related regulations. It details the mechanisms for transferring securities, managing collateral, handling corporate actions, and addressing default scenarios. This document is particularly important in Hong Kong's active securities market, where securities lending plays a crucial role in maintaining market liquidity and efficiency.
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1. Parties: Identifies and defines the lender and borrower entering into the agreement
2. Background: Sets out the context and purpose of the agreement, including the parties' intentions to engage in securities lending transactions
3. Definitions and Interpretation: Defines key terms used throughout the agreement and establishes interpretation principles
4. Loans of Securities: Core provisions governing the borrowing and lending of securities, including loan mechanics and procedures
5. Transfer of Securities: Provisions regarding the delivery and transfer of borrowed securities
6. Collateral Requirements: Details of collateral obligations, including types, maintenance, and margin requirements
7. Fees and Charges: Provisions regarding lending fees, charges, and other payments between parties
8. Income and Corporate Actions: Handling of dividends, rights issues, and other corporate actions affecting borrowed securities
9. Tax: Treatment of tax matters, including withholding tax and manufactured payments
10. Events of Default: Defines events constituting default and consequences
11. Close-out and Set-off: Procedures for terminating loans and settling obligations
12. Representations and Warranties: Standard representations and warranties from both parties
13. Indemnities: Indemnification obligations of the parties
14. General Provisions: Standard boilerplate provisions including notices, amendments, and governing law
1. Agency Lending: Additional provisions when lending is conducted through an agent
2. Triparty Arrangements: Provisions for when a triparty agent is used for collateral management
3. Electronic Trading Platform: Terms governing use of electronic platforms for trading and settlement
4. Market Making Activities: Special provisions for market makers or dealers
5. Regulatory Compliance: Specific provisions addressing compliance with particular regulatory regimes
6. Force Majeure: Provisions dealing with extraordinary events affecting performance
7. Central Counterparty Clearing: Terms for cleared transactions through a CCP
1. Form of Loan Confirmation: Standard form for confirming individual loan transactions
2. Eligible Securities: List of securities eligible for borrowing and lending
3. Eligible Collateral: Approved types of collateral and associated haircuts
4. Fee Schedule: Details of lending fees, minimum fees, and payment calculations
5. Operating Procedures: Detailed procedures for loan initiation, maintenance, and termination
6. Contact Details: List of authorized personnel and contact information
7. Tax Documentation: Required tax forms and documentation
8. Form of Power of Attorney: Standard form for authorized representatives
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