The Broker Dealer Contract serves as the foundational agreement for establishing and governing relationships between registered broker-dealers and their clients in the Canadian securities market. This document is essential when formalizing arrangements for securities trading, clearing, and related financial services. It encompasses comprehensive terms addressing regulatory compliance, operational procedures, risk management, and service levels, while ensuring adherence to requirements set forth by IIROC, provincial securities commissions, and other relevant regulatory bodies. The contract is specifically designed to meet Canadian regulatory requirements while providing flexibility to accommodate various business models and service offerings within the broker-dealer framework.
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1. Parties: Identification of the contracting parties, including full legal names, registration details, and contact information
2. Background: Context of the agreement, including the parties' status as registered broker-dealers and regulatory authorizations
3. Definitions: Comprehensive list of defined terms used throughout the agreement
4. Scope of Services: Detailed description of broker-dealer services to be provided, including trading, execution, clearing, and settlement services
5. Registration and Compliance: Obligations regarding maintaining necessary registrations, licenses, and compliance with applicable laws and regulations
6. Representations and Warranties: Standard and regulatory-specific representations from both parties
7. Fees and Compensation: Fee structure, payment terms, and commission arrangements
8. Client Accounts and Documentation: Requirements for client account opening, maintenance, and related documentation
9. Trading and Settlement: Procedures for trade execution, clearing, and settlement
10. Risk Management: Risk management procedures, margin requirements, and capital adequacy obligations
11. Compliance with Anti-Money Laundering Laws: AML/KYC requirements and procedures
12. Confidentiality and Data Protection: Obligations regarding client information, trade secrets, and compliance with privacy laws
13. Record Keeping: Requirements for maintaining books, records, and reporting
14. Indemnification: Mutual indemnification provisions and liability limitations
15. Term and Termination: Duration of agreement, renewal terms, and termination provisions
16. Governing Law and Jurisdiction: Choice of law and jurisdiction provisions
1. Electronic Trading Services: Specific terms for electronic trading platforms and systems, used when electronic trading services are part of the arrangement
2. Research Services: Terms governing the provision of research services, if applicable
3. Prime Brokerage Services: Additional terms for prime brokerage services, if offered
4. Cross-Border Trading: Specific provisions for international trading activities, if applicable
5. Introducing Broker Arrangements: Terms specific to introducing broker relationships, if relevant
6. Securities Lending: Terms governing securities lending services, if offered
7. Algorithmic Trading: Specific provisions for algorithmic trading services, if provided
8. Force Majeure: Provisions for extraordinary events affecting market operations
1. Schedule A - Fee Schedule: Detailed breakdown of all fees, commissions, and charges
2. Schedule B - Service Level Agreement: Specific performance metrics and service standards
3. Schedule C - Operational Procedures: Detailed operational procedures and workflows
4. Schedule D - Compliance Requirements: Specific regulatory compliance requirements and procedures
5. Schedule E - Required Documentation: List of required documentation for account opening and maintenance
6. Schedule F - Risk Disclosure: Detailed risk disclosures and acknowledgments
7. Appendix 1 - Technology Requirements: Technical specifications for systems integration and connectivity
8. Appendix 2 - Contact Information: Key contacts and escalation procedures
9. Appendix 3 - Jurisdictional Requirements: Specific requirements for different jurisdictions where services are provided
Authors
Relevant legal definitions
Clauses
Relevant Industries
Financial Services
Investment Banking
Securities Trading
Asset Management
Wealth Management
Capital Markets
Financial Technology
Banking
Insurance
Investment Management
Relevant Teams
Legal
Compliance
Trading Operations
Risk Management
Client Services
Operations
Business Development
Account Management
Regulatory Reporting
Settlement
Technology
Internal Audit
Finance
Relevant Roles
Chief Compliance Officer
Legal Counsel
Head of Trading
Risk Manager
Operations Director
Compliance Manager
Trading Desk Manager
Account Manager
Relationship Manager
Chief Operating Officer
Head of Broker-Dealer Services
General Counsel
Chief Risk Officer
Head of Operations
Business Development Manager
Senior Compliance Analyst
Trading Operations Manager
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