The Broker Agreement is a fundamental document used in the Hong Kong financial services industry to formalize the relationship between licensed brokers and their clients. It is required under the Securities and Futures Ordinance and must comply with regulations set by the Hong Kong Securities and Futures Commission (SFC). The agreement covers essential aspects such as service scope, trading authorization, fee structures, risk disclosures, and compliance obligations. This document is particularly important in Hong Kong's role as a major financial center, where brokers frequently deal with both local and international clients. The agreement must address specific requirements for different client categories (retail, professional, institutional) and include mandatory risk disclosures and client protection measures as required by Hong Kong regulations.
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1. Parties: Identification of the broker and the client, including licensing details of the broker
2. Background: Context of the agreement and brief description of the brokerage services to be provided
3. Definitions: Definitions of key terms used throughout the agreement
4. Appointment and Scope of Services: Details of broker's appointment and specific services to be provided
5. Broker's Obligations: Key responsibilities and duties of the broker, including regulatory compliance requirements
6. Client's Obligations: Client's responsibilities, including provision of information and cooperation
7. Fees and Payment: Commission structure, fees, expenses, and payment terms
8. Representations and Warranties: Standard representations from both parties, including regulatory status and capacity
9. Compliance with Laws: Obligations regarding regulatory compliance, especially SFO requirements
10. Confidentiality: Provisions for handling confidential information and client data
11. Liability and Indemnification: Limitation of liability and mutual indemnification provisions
12. Term and Termination: Duration of agreement and circumstances for termination
13. General Provisions: Standard boilerplate clauses including notices, amendments, governing law
1. Electronic Trading Services: Include when broker provides online trading platforms or electronic services
2. Margin Trading: Include when margin trading services are offered
3. Research Services: Include when broker provides investment research to clients
4. Custody Services: Include when broker provides custody of client assets
5. International Trading: Include for cross-border trading services
6. Force Majeure: Include for specific market disruption events
7. Anti-Money Laundering: Detailed AML provisions when dealing with high-risk clients
8. Data Protection: Enhanced data protection clauses for handling sensitive personal data
1. Schedule 1 - Fee Schedule: Detailed breakdown of all fees, commissions, and charges
2. Schedule 2 - Services Description: Detailed description of specific brokerage services offered
3. Schedule 3 - Authorized Persons: List of persons authorized to give instructions on behalf of the client
4. Schedule 4 - Risk Disclosure Statement: Required risk disclosures under Hong Kong regulations
5. Schedule 5 - Trading Rules and Procedures: Specific procedures for order placement and execution
6. Appendix A - Account Opening Form: Standard form for collecting client information
7. Appendix B - Compliance Documentation: Required regulatory forms and declarations
Relevant legal definitions
Clauses
Relevant Industries
Financial Services
Investment Banking
Securities Trading
Asset Management
Wealth Management
Corporate Finance
Private Banking
Investment Advisory
Capital Markets
Professional Services
Relevant Teams
Legal
Compliance
Risk Management
Operations
Client Services
Trading
Business Development
Regulatory Affairs
Account Management
Investment Advisory
Relevant Roles
Compliance Officer
Legal Counsel
Risk Manager
Relationship Manager
Investment Advisor
Trading Manager
Operations Director
Client Services Manager
Business Development Manager
Chief Operating Officer
Head of Brokerage
Account Manager
Regulatory Affairs Officer
Chief Compliance Officer
General Counsel
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