A Broker Engagement Letter is a crucial document used in Hong Kong's financial services industry to formalize the relationship between licensed brokers and their clients. This document is required whenever a broker begins providing securities trading or related financial services to a new client, whether individual or corporate. The letter must comply with the Securities and Futures Commission's (SFC) regulatory requirements, including mandatory risk disclosures, fee transparency, and client protection measures. It typically includes details about service scope, commission structures, client obligations, and regulatory compliance requirements. The document serves as both a regulatory compliance tool and a legal protection mechanism for all parties involved, establishing clear expectations and responsibilities while adhering to Hong Kong's sophisticated financial services regulatory framework.
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1. Letterhead and Date: Broker's company details, licensing information, and date of the letter
2. Client Details: Full name and address of the client
3. Salutation: Formal greeting to the client
4. Introduction: Brief introduction identifying the parties and purpose of the engagement
5. Scope of Services: Detailed description of brokerage services to be provided
6. Fees and Compensation: Clear outline of all fees, commissions, and charges
7. Client Obligations: Client's responsibilities and obligations including information provision
8. Risk Disclosures: Mandatory risk warnings and disclosures as required by SFC
9. Confidentiality: Obligations regarding confidential information handling
10. Term and Termination: Duration of engagement and termination provisions
11. Governing Law: Confirmation of Hong Kong law governance
12. Execution Block: Signature blocks for acceptance by both parties
1. Conflicts of Interest: Additional disclosures about potential conflicts of interest when the broker has multiple roles or relationships
2. Electronic Trading Services: Include when offering online trading platforms or electronic services
3. Margin Trading Terms: Required when offering margin trading services
4. Research Services: Include when providing investment research as part of the services
5. Best Execution Policy: Detailed execution policy when handling multiple types of securities or markets
6. Third-Party Authorization: Include when client may authorize third parties to operate the account
1. Fee Schedule: Detailed breakdown of all fees, commissions, and charges
2. Risk Disclosure Statement: Comprehensive risk disclosures required by SFC regulations
3. Personal Information Collection Statement: Privacy policy and data handling procedures
4. Trading Authorization Form: Standard form for client signature authorizing trading activities
5. Broker's Licensing Information: Details of regulatory licenses and registrations
6. Account Opening Forms: Required forms for opening trading accounts and KYC documentation
Relevant legal definitions
Clauses
Relevant Industries
Financial Services
Securities Trading
Investment Banking
Wealth Management
Asset Management
Corporate Finance
Private Banking
Retail Banking
Professional Services
Legal Services
Relevant Teams
Legal
Compliance
Operations
Client Services
Risk Management
Trading
Account Management
Business Development
Documentation
Regulatory Affairs
Relevant Roles
Compliance Officer
Legal Counsel
Broker
Securities Trader
Relationship Manager
Risk Manager
Operations Manager
Client Services Manager
Chief Compliance Officer
Head of Legal
Director of Operations
Chief Executive Officer
Account Manager
Financial Advisor
Investment Consultant
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