The Broker Dealer Referral Agreement is essential for establishing formal referral relationships in the UK financial services sector. This document, governed by English and Welsh law, is commonly used when independent parties wish to refer clients to regulated broker-dealers in exchange for compensation. The agreement ensures compliance with FCA regulations, defines clear referral processes, and establishes commission structures while protecting both parties' interests. It addresses key regulatory requirements including client confidentiality, anti-money laundering procedures, and financial promotion rules.
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1. Parties: Identification and details of the contracting parties including regulatory status and authorizations
2. Background: Context of the agreement, business relationship overview, and regulatory framework
3. Definitions: Key terms used throughout the agreement including regulatory and industry-specific terminology
4. Scope of Services: Detailed description of referral arrangements, services provided, and regulatory permissions
5. Regulatory Compliance: FCA requirements, compliance obligations, and regulatory restrictions on activities
6. Compensation Structure: Fee arrangements, payment terms, and compliance with inducement rules
7. Representations and Warranties: Key promises and statements by parties including regulatory status confirmations
8. Term and Termination: Duration of agreement, termination rights, and regulatory notification requirements
9. Confidentiality: Protection of confidential information and data protection obligations
1. Non-Solicitation: Restrictions on soliciting clients or employees, typically included when protecting client relationships is crucial
2. White Labeling: Provisions for branded services, included when services are provided under partner's brand
3. Training Requirements: Staff training obligations and competency requirements, included when specific qualifications are needed
1. Fee Schedule: Detailed breakdown of compensation structure and payment calculations
2. Service Level Agreement: Performance metrics, service standards, and response times
3. Compliance Procedures: Detailed regulatory compliance requirements and procedures
4. Referral Process: Step-by-step referral procedures and documentation requirements
5. Required Disclaimers: Mandatory regulatory disclaimers, notices, and risk warnings
Relevant legal definitions
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