The Third Party Custody Agreement is essential for financial institutions and investors operating in India who require professional custody services for their securities and assets. This agreement is particularly relevant in the context of Indian financial markets, where custodial services are regulated by the Securities and Exchange Board of India (SEBI) under the SEBI (Custodian of Securities) Regulations, 1996. The document establishes the legal framework for the appointment of a custodian, detailing their responsibilities for safekeeping assets, processing corporate actions, facilitating settlements, maintaining records, and ensuring regulatory compliance. It is commonly used by institutional investors, mutual funds, insurance companies, and other entities requiring professional custody services for their investment portfolios in India. The agreement must incorporate specific Indian regulatory requirements while addressing international best practices for custody services.
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1. Parties: Identifies and provides details of the principal client, the custodian, and any other relevant parties
2. Background: Sets out the context of the agreement and the intention to appoint the custodian
3. Definitions: Defines key terms used throughout the agreement
4. Appointment and Authority: Formal appointment of the custodian and scope of authority
5. Duties and Responsibilities of Custodian: Comprehensive listing of core custodial services and obligations
6. Client Obligations: Responsibilities and obligations of the client
7. Fees and Charges: Details of compensation, fee structure, and payment terms
8. Instructions and Communications: Procedures for giving and receiving instructions between parties
9. Custody of Assets: Provisions regarding safekeeping, segregation, and handling of assets
10. Records and Reporting: Requirements for maintenance of records and reporting obligations
11. Compliance and Regulatory Matters: Regulatory compliance obligations and requirements
12. Representations and Warranties: Standard representations and warranties from all parties
13. Liability and Indemnification: Scope of liability, limitations, and indemnification provisions
14. Confidentiality: Provisions regarding confidential information handling
15. Term and Termination: Duration of agreement and termination provisions
16. Governing Law and Jurisdiction: Applicable law and jurisdiction for dispute resolution
1. Sub-Custodian Arrangements: Provisions regarding appointment and oversight of sub-custodians, included when sub-custody arrangements are anticipated
2. Foreign Investment Provisions: Specific provisions for handling foreign investments, included when dealing with international assets
3. Corporate Actions: Procedures for handling corporate actions, included when custody includes equity securities
4. Securities Lending: Terms for securities lending services, included if securities lending is offered
5. Electronic Access: Terms for electronic access to custody accounts and systems, included if online access is provided
6. Force Majeure: Provisions for extraordinary events, included based on risk assessment
7. Tax Obligations: Specific tax-related services and obligations, included if tax services are provided
8. Insurance: Insurance requirements and coverage details, included based on risk profile
1. Schedule 1 - Fee Schedule: Detailed breakdown of all fees, charges, and payment terms
2. Schedule 2 - Authorized Signatories: List of authorized persons who can give instructions
3. Schedule 3 - Service Level Agreement: Detailed service standards and performance metrics
4. Schedule 4 - Operating Procedures: Detailed operational procedures and processes
5. Schedule 5 - Reporting Requirements: Specific reporting formats, frequency, and requirements
6. Appendix A - Account Opening Forms: Standard forms for opening custody accounts
7. Appendix B - Communication Protocols: Detailed procedures for various types of communications
8. Appendix C - Regulatory Compliance Checklist: Checklist of regulatory requirements and compliance procedures
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