The Introducing Broker Agreement is essential for financial institutions operating in Indonesia that wish to expand their client base through authorized intermediaries. This document is specifically designed to comply with Indonesian regulatory requirements, including OJK regulations, capital market laws, and anti-money laundering provisions. It is commonly used when a Principal Broker wants to leverage the network and expertise of an Introducing Broker to acquire new clients while maintaining regulatory compliance. The agreement covers crucial aspects such as service scope, commission structures, compliance requirements, and operational procedures, ensuring all parties understand their roles and responsibilities under Indonesian law. It's particularly important for establishing clear guidelines on client introductions, due diligence processes, and ongoing compliance monitoring in the Indonesian financial services sector.
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1. Parties: Identification of the Principal Broker and the Introducing Broker, including their complete legal names, registration numbers, and addresses
2. Background: Context of the agreement, including the Principal Broker's business, the Introducing Broker's capabilities, and the intention to establish a referral relationship
3. Definitions: Key terms used throughout the agreement, including 'Introduced Clients', 'Services', 'Commission', and regulatory terminology
4. Appointment and Scope: Terms of the Introducing Broker's appointment and detailed scope of authorized activities
5. Regulatory Compliance: Obligations to comply with Indonesian financial regulations, particularly OJK requirements and anti-money laundering laws
6. Introducing Broker's Obligations: Detailed responsibilities including client introduction procedures, due diligence requirements, and service standards
7. Principal Broker's Obligations: Responsibilities of the principal broker, including service provision to introduced clients and broker support
8. Commission Structure: Details of compensation, calculation methods, payment terms, and conditions for commission eligibility
9. Representations and Warranties: Standard and specific warranties from both parties, including licensing, authority, and compliance status
10. Confidentiality: Protection of confidential information, trade secrets, and client data
11. Term and Termination: Duration of the agreement, renewal terms, and circumstances for termination
12. General Provisions: Standard clauses including notices, amendments, governing law, and dispute resolution
1. Non-Competition: Restrictions on competing activities, used when exclusivity is required
2. Marketing and Branding: Guidelines for using the Principal Broker's brand, needed when the Introducing Broker will conduct marketing activities
3. Training and Support: Details of training provided by the Principal Broker, included when comprehensive support is part of the arrangement
4. Insurance Requirements: Specific insurance coverage requirements, included for high-risk or high-value arrangements
5. Data Protection: Specific data protection obligations, included when dealing with personal data processing
6. Force Majeure: Provisions for unforeseen circumstances, included for longer-term or critical business relationships
7. Assignment and Succession: Terms for transferring rights under the agreement, included when business continuity is crucial
1. Commission Schedule: Detailed breakdown of commission rates, tiers, and calculation methods
2. Service Level Agreement: Specific performance metrics, response times, and service standards
3. Compliance Procedures: Detailed procedures for client onboarding, KYC, and regulatory compliance
4. Approved Marketing Materials: Templates and guidelines for marketing and client communications
5. Required Documentation: List of documents required for client onboarding and verification
6. Territory and Client Segments: Definition of geographical areas and client types covered by the agreement
7. Contact Details: Key personnel and escalation points for both parties
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