The Sub Broker Agreement is essential when a regulated broker wishes to extend their business through appointed representatives or sub brokers in England and Wales. This document is crucial for ensuring regulatory compliance while enabling business expansion through authorized third parties. It covers key aspects such as scope of authority, compliance requirements, commission arrangements, and risk management procedures, all within the framework of FCA regulations and English law requirements.
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1. Parties: Identification of the Principal Broker and Sub Broker, including registration details and FCA authorization numbers
2. Background: Context of the agreement and relationship between parties
3. Definitions: Key terms used throughout the agreement
4. Appointment and Scope: Terms of appointment and scope of authorized activities
5. Regulatory Compliance: FCA requirements and compliance obligations
6. Duties and Responsibilities: Specific obligations of both parties
7. Commission Structure: Payment terms and commission arrangements
8. Confidentiality: Protection of confidential information
9. Term and Termination: Duration and termination provisions
1. Non-Compete Provisions: Restrictions on competitive activities - use when protecting business interests from competition
2. White Labeling: Terms for using principal broker's branding - use when sub-broker will use principal's brand
3. Training Requirements: Specific training obligations - use when ongoing training is part of the relationship
4. Technology Requirements: Use of specific systems or platforms - use when specific technology must be used
1. Commission Schedule: Detailed breakdown of commission structures and calculations
2. Products Schedule: List of authorized products/services
3. Compliance Procedures: Detailed compliance requirements and procedures
4. Service Level Agreement: Performance metrics and service standards
5. Data Processing Agreement: GDPR-compliant data processing terms
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