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Stock Management Agreement

Stock Management Agreement Template for United Arab Emirates

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Key Requirements PROMPT example:

Stock Management Agreement

"I need a Stock Management Agreement for our UAE-based fintech company that will be listed on the ADX in March 2025, with particular focus on electronic trading systems and compliance with SCA regulations."

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Document background
The Stock Management Agreement serves as a crucial legal instrument for companies in the UAE seeking professional management of their stock and securities. This document is essential when a company needs to delegate the administration and management of its shares to a specialized service provider, particularly in cases involving listed companies, complex shareholding structures, or international trading requirements. The agreement ensures compliance with UAE federal laws, including Federal Law No. 2 of 2015 (Commercial Companies Law) and Securities and Commodities Authority (SCA) regulations, while establishing clear procedures for stock administration, trading, record-keeping, and reporting. It's particularly relevant for companies listed on UAE exchanges or those planning significant corporate actions, providing a framework for efficient stock management while protecting the interests of all stakeholders.
Suggested Sections

1. Parties: Identification of the parties: typically the company, stock manager, and any other relevant stakeholders

2. Background: Context of the agreement, including company details and purpose of the stock management arrangement

3. Definitions: Key terms used throughout the agreement, including technical and legal terminology

4. Appointment and Authority: Formal appointment of the stock manager and scope of their authority

5. Services and Responsibilities: Detailed description of stock management services to be provided

6. Compliance Requirements: Obligations to comply with UAE laws, SCA regulations, and relevant market rules

7. Record Keeping: Requirements for maintaining accurate stock records and documentation

8. Reporting Obligations: Regular reporting requirements and communication protocols

9. Fees and Expenses: Payment terms, fee structure, and expense allocation

10. Confidentiality: Provisions for handling confidential information and trade secrets

11. Term and Termination: Duration of agreement and circumstances for termination

12. Liability and Indemnification: Scope of liability and indemnification provisions

13. Governing Law and Jurisdiction: Specification of UAE law application and jurisdiction

14. Notices: Process for formal communications between parties

15. General Provisions: Standard boilerplate clauses including amendment, assignment, and severability

Optional Sections

1. International Trading Provisions: Required when stock management involves international markets or cross-border transactions

2. Electronic Trading Systems: Needed when specific electronic trading platforms or systems will be used

3. Multiple Share Classes: Required when managing different classes of shares with varying rights

4. Shareholder Rights Management: Necessary when stock manager handles shareholder voting rights or dividend distributions

5. Free Zone Specific Provisions: Required when company operates within UAE free zones

6. Islamic Finance Compliance: Needed when stock management must comply with Islamic finance principles

7. Risk Management Procedures: Optional detailed risk management protocols for complex portfolios

8. Business Continuity: Optional provisions for ensuring continuous operation in emergency situations

Suggested Schedules

1. Schedule 1 - Service Level Agreement: Detailed metrics and standards for stock management services

2. Schedule 2 - Fee Schedule: Detailed breakdown of all fees, charges, and payment terms

3. Schedule 3 - Authorized Personnel: List of authorized representatives and their powers

4. Schedule 4 - Reporting Templates: Standard formats for regular reports and notifications

5. Schedule 5 - Compliance Procedures: Detailed procedures for ensuring regulatory compliance

6. Appendix A - Power of Attorney: Legal authorization for stock manager to act on company's behalf

7. Appendix B - Technical Requirements: Technical specifications for systems and interfaces

8. Appendix C - Emergency Procedures: Procedures for handling emergency situations

Authors

Alex Denne

Head of Growth (Open Source Law) @ tiktok³ÉÈË°æ | 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

Financial Services

Banking

Investment Management

Securities Trading

Corporate Services

Professional Services

Technology (FinTech)

Consulting

Asset Management

Capital Markets

Relevant Teams

Legal

Finance

Compliance

Corporate Governance

Treasury

Operations

Risk Management

Corporate Services

Shareholder Relations

Executive Management

Investment

Administration

Relevant Roles

Chief Executive Officer

Chief Financial Officer

Company Secretary

Legal Counsel

Compliance Officer

Stock Exchange Manager

Investment Manager

Corporate Governance Officer

Financial Controller

Treasury Manager

Operations Director

Risk Manager

Corporate Services Manager

Shareholder Relations Manager

Industries








Teams

Employer, Employee, Start Date, Job Title, Department, Location, Probationary Period, Notice Period, Salary, Overtime, Vacation Pay, Statutory Holidays, Benefits, Bonus, Expenses, Working Hours, Rest Breaks,  Leaves of Absence, Confidentiality, Intellectual Property, Non-Solicitation, Non-Competition, Code of Conduct, Termination,  Severance Pay, Governing Law, Entire Agreemen

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