The Broker to Broker Agreement serves as a foundational document for establishing formal business relationships between registered broker-dealers in the Canadian securities market. This agreement is essential when two brokers wish to collaborate on trading activities, share commissions, or establish clearing arrangements. It is particularly relevant for situations involving introducing/carrying broker relationships, cross-border trading activities, or specialized trading arrangements. The document must comply with provincial Securities Acts, IIROC regulations, and federal legislation including anti-money laundering and privacy laws. It typically includes detailed provisions for operational procedures, risk management, regulatory compliance, and dispute resolution, tailored to the specific needs of the Canadian securities industry.
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1. Parties: Identification of the broker entities entering into the agreement, including registration details and regulatory status
2. Background: Context of the agreement and brief description of the parties' business activities
3. Definitions: Key terms used throughout the agreement
4. Scope of Services: Detailed description of the services to be provided between the brokers
5. Regulatory Compliance: Obligations regarding compliance with IIROC rules and applicable securities regulations
6. Commission Structure: Terms for sharing commissions and other compensation arrangements
7. Trading Procedures: Protocols for order execution, settlement, and clearing
8. Client Documentation: Requirements for maintaining client records and documentation
9. Confidentiality: Protection of confidential information and trade secrets
10. Risk Management: Procedures for managing trading risks and maintaining capital adequacy
11. Representations and Warranties: Standard declarations regarding legal status, authority, and regulatory compliance
12. Term and Termination: Duration of the agreement and conditions for termination
13. Dispute Resolution: Procedures for resolving disputes between the parties
14. General Provisions: Standard legal provisions including governing law, notices, and amendments
1. Cross-Border Trading: Include when brokers operate in multiple jurisdictions or handle international trades
2. Electronic Trading Systems: Include when parties use specific electronic trading platforms or systems
3. Research Sharing: Include when parties agree to share research materials and analysis
4. Introducing/Carrying Broker Provisions: Include for introducing/carrying broker relationships
5. White Labeling: Include when one broker provides branded services for another
6. Data Protection: Include detailed privacy provisions when handling significant personal data
7. Business Continuity: Include when requiring specific disaster recovery and business continuity arrangements
1. Schedule A - Commission Schedule: Detailed breakdown of commission rates and payment terms
2. Schedule B - Trading Parameters: Specific trading limits, restricted securities, and operational procedures
3. Schedule C - Contact Information: List of key personnel and emergency contacts
4. Schedule D - Technology Requirements: Technical specifications and connectivity requirements
5. Schedule E - Service Level Agreement: Performance metrics and service standards
6. Appendix 1 - Compliance Procedures: Detailed compliance protocols and reporting requirements
7. Appendix 2 - Risk Management Procedures: Specific risk management protocols and limits
Relevant legal definitions
Clauses
Relevant Industries
Financial Services
Investment Banking
Securities Trading
Wealth Management
Asset Management
Capital Markets
Investment Services
Financial Technology
Corporate Finance
Institutional Banking
Relevant Teams
Legal
Compliance
Trading Operations
Risk Management
Business Development
Settlements
Regulatory Affairs
Operations
Partner Relations
Trading Desk
Institutional Sales
Client Services
Corporate Development
Relevant Roles
Chief Compliance Officer
Head of Trading
Legal Counsel
Risk Manager
Operations Director
Compliance Manager
Trading Desk Manager
Business Development Director
Chief Operating Officer
Head of Broker Relations
Settlement Manager
Chief Risk Officer
Regulatory Affairs Director
Partnership Manager
Trading Operations Manager
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