The Introducing Broker Agreement is essential for financial institutions and brokers operating in Denmark who wish to establish formal referral relationships. This document type is used when one party seeks to introduce clients to another party's financial services while ensuring compliance with Danish financial regulations, including the Danish Financial Business Act and MiFID II requirements. The agreement covers crucial aspects such as commission structures, regulatory compliance, client onboarding procedures, and data protection requirements. It is particularly important in the Danish context where financial services are highly regulated and must comply with both national and EU legislation. The agreement typically includes detailed provisions on anti-money laundering obligations, client classification, and reporting requirements specific to the Danish financial services sector.
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Key Requirements PROMPT example:
Introducing Broker Agreement
I need an Introducing Broker Agreement under Danish law for our fintech company that will be introducing retail clients to a major Danish bank, with strict compliance provisions and a commission structure that complies with MiFID II requirements, to be effective from March 2025.
1. Parties: Identification of the introducing broker and the receiving broker/financial institution
2. Background: Context of the agreement and brief description of the parties' business relationship
3. Definitions: Definitions of key terms used throughout the agreement
4. Scope of Services: Detailed description of introduction services and permitted activities
5. Regulatory Compliance: Obligations regarding regulatory requirements, licenses, and permissions
6. Duties and Responsibilities: Specific obligations of both parties in the introduction relationship
7. Client Onboarding: Procedures for introducing and onboarding new clients
8. Compensation: Commission structure, payment terms, and calculation methods
9. Representations and Warranties: Statements of fact and assurances from both parties
10. Compliance with AML Requirements: Anti-money laundering and KYC obligations
11. Data Protection: GDPR compliance and data handling requirements
12. Confidentiality: Protection of confidential information and trade secrets
13. Term and Termination: Duration of agreement and termination provisions
14. Liability and Indemnification: Allocation of risks and indemnification obligations
15. Governing Law and Jurisdiction: Application of Danish law and jurisdiction for disputes
1. White Labeling: Terms for using the receiving broker's platform under the introducing broker's brand
2. Marketing Guidelines: Rules for marketing and promotional activities, if the broker will conduct marketing
3. Sub-Introducing Brokers: Provisions for allowing or prohibiting the appointment of sub-introducing brokers
4. Non-Compete Provisions: Restrictions on competing activities, if required
5. Insurance Requirements: Specific insurance coverage requirements, if needed
6. Service Level Agreement: Specific performance metrics and standards, if applicable
7. Training Requirements: Provisions for staff training and certification, if required
1. Commission Schedule: Detailed breakdown of commission rates and calculation methods
2. Approved Jurisdictions: List of jurisdictions where the introducing broker is permitted to introduce clients
3. Required Documentation: Templates and forms for client onboarding and due diligence
4. Compliance Procedures: Detailed compliance procedures and checklists
5. Technical Requirements: IT and system requirements for integration
6. Contact Details: Key personnel and escalation contacts for both parties
7. Marketing Guidelines: Detailed marketing rules and approved materials
8. Data Processing Agreement: Detailed GDPR-compliant data processing terms
Authors
Relevant legal definitions
Clauses
Relevant Industries
Financial Services
Investment Banking
Asset Management
Securities Trading
Wealth Management
FinTech
Banking
Professional Services
Consulting
Relevant Teams
Legal
Compliance
Business Development
Sales
Operations
Risk Management
Client Relations
Partnerships
Regulatory Affairs
Finance
Relevant Roles
Chief Compliance Officer
Legal Counsel
Business Development Manager
Partnership Manager
Head of Sales
Compliance Manager
Risk Manager
Chief Operating Officer
Relationship Manager
Financial Services Director
Head of Broker Relations
Client Onboarding Manager
regulatory Affairs Director
General Counsel
Head of Legal
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