The Broker Dealer Contract serves as the foundational document establishing the professional relationship between broker-dealers and their clients in the UK financial markets. This agreement, governed by English and Welsh law, is essential for compliance with FCA regulations and MiFID II requirements. It outlines the terms of service, regulatory obligations, risk disclosures, and fee structures. The contract is particularly important in today's complex financial markets where clear documentation of responsibilities and obligations is crucial for risk management and regulatory compliance.
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1. Parties: Identification of the broker-dealer and client, including registration details and regulatory status
2. Background: Context of the agreement, regulatory framework, and purpose of the broker-dealer relationship
3. Definitions: Key terms used throughout the agreement, including regulatory and industry-specific terminology
4. Services: Detailed scope of broker-dealer services, permitted activities, and service limitations
5. Client Classification: Classification of client type (retail/professional/eligible counterparty) and resulting obligations
6. Fees and Charges: Payment terms, commission structure, and other applicable charges
7. Obligations and Responsibilities: Duties of both parties, including regulatory compliance requirements and reporting obligations
8. Risk Disclosures: Mandatory risk warnings and disclosures as required by FCA regulations
9. Anti-Money Laundering: AML compliance requirements, due diligence procedures, and ongoing monitoring
10. Confidentiality: Protection of confidential information and trade secrets
11. Term and Termination: Duration of agreement, termination rights, and post-termination obligations
12. Governing Law: Specification of English and Welsh law as governing law and jurisdiction
1. Online Services: Terms for electronic trading platforms and digital services
2. Research Services: Terms for providing investment research and analysis
3. Margin Trading: Terms and conditions for margin trading services
4. Corporate Finance Services: Terms for any corporate finance advisory services
5. International Trading: Additional terms for cross-border trading activities
1. Fee Schedule: Detailed breakdown of all fees, commissions, and charges
2. Risk Disclosure Statement: Comprehensive risk warnings for specific products and services
3. Order Execution Policy: Details of how client orders will be executed in compliance with best execution requirements
4. Conflicts of Interest Policy: Policy for identifying and managing potential conflicts of interest
5. Data Protection Schedule: GDPR compliance measures and data processing details
6. Required Regulatory Disclosures: Standard regulatory disclosures required by FCA and other applicable regulations
Relevant legal definitions
Clauses
Relevant Industries
Relevant Teams
Relevant Roles
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