The Brokerage Contract serves as the foundational document governing the professional relationship between brokers and their clients in Ireland. It is essential for any broker providing intermediary services across various sectors, including financial services, real estate, and insurance. This document is designed to comply with Irish legal requirements and EU regulations, particularly the Investment Intermediaries Act 1995, MiFID II regulations, and Central Bank of Ireland guidelines. The contract typically includes detailed provisions on service scope, fee structures, regulatory compliance, risk management, and client protections. It's particularly important in the Irish context given the country's status as a significant financial services center and the need to align with both domestic and EU regulatory frameworks. The Brokerage Contract should be customized based on the specific type of brokerage service being offered and the nature of the client relationship, while maintaining compliance with all relevant regulatory requirements.
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1. Parties: Identifies the broker and the client, including full legal names, registered addresses, and company registration numbers where applicable
2. Background: Sets out the context of the agreement, including the broker's regulatory status and authorizations, and the client's intention to engage the broker's services
3. Definitions: Defines key terms used throughout the agreement for clarity and legal certainty
4. Scope of Services: Details the specific brokerage services to be provided, including any limitations or exclusions
5. Broker's Obligations: Outlines the broker's duties, responsibilities, and standard of care
6. Client's Obligations: Specifies the client's responsibilities, including provision of information and cooperation
7. Fees and Commission: Details the compensation structure, payment terms, and any additional charges
8. Regulatory Compliance: Addresses compliance with relevant Irish and EU regulations, including MiFID II requirements where applicable
9. Confidentiality: Sets out obligations regarding confidential information and data protection
10. Liability and Indemnification: Defines the extent of the broker's liability and any indemnification provisions
11. Term and Termination: Specifies the duration of the agreement and circumstances for termination
12. General Provisions: Contains standard boilerplate clauses including governing law, notices, and entire agreement
1. Best Execution Policy: Required for financial instruments brokerage, detailing how the broker achieves best execution for clients
2. Client Categorization: Needed for MiFID II regulated services, specifying whether the client is retail, professional, or eligible counterparty
3. Conflicts of Interest: Detailed section required when the broker provides multiple services or acts for multiple clients
4. Electronic Trading Provisions: Required when offering online trading platforms or electronic services
5. Risk Disclosures: Detailed risk warnings required for complex financial instruments or high-risk transactions
6. Anti-Money Laundering Procedures: Detailed AML procedures when dealing with high-risk clients or transactions
7. Force Majeure: Extended provisions needed for services vulnerable to external disruptions
8. Intellectual Property Rights: Required when the service involves proprietary trading systems or research
1. Schedule 1 - Fee Schedule: Detailed breakdown of all fees, commissions, and charges
2. Schedule 2 - Services Description: Comprehensive description of all services offered and their specific terms
3. Schedule 3 - Required Documentation: List of documents required from the client for regulatory compliance
4. Schedule 4 - Authorized Persons: List of persons authorized to act on behalf of the client
5. Appendix A - Risk Disclosure Statement: Detailed risk warnings and disclosures required by regulations
6. Appendix B - Privacy Notice: GDPR-compliant privacy notice detailing handling of personal data
7. Appendix C - Execution Policy: Detailed policy on how trades or transactions will be executed
8. Appendix D - Complaints Procedure: Process for handling client complaints as required by Irish regulations
Authors
Relevant legal definitions
Clauses
Relevant Industries
Financial Services
Real Estate
Insurance
Commodities Trading
Securities Trading
Investment Management
Wealth Management
Foreign Exchange
Shipping and Maritime
Agricultural Products
Energy Trading
Technology Services
Relevant Teams
Legal
Compliance
Risk Management
Operations
Client Services
Business Development
Trading
Finance
Regulatory Affairs
Due Diligence
Account Management
Documentation
Relevant Roles
Compliance Officer
Legal Counsel
Risk Manager
Broker
Investment Advisor
Business Development Manager
Operations Manager
Chief Executive Officer
Chief Financial Officer
Relationship Manager
Contract Manager
Regulatory Affairs Director
Company Secretary
Trading Manager
Client Services Manager
Due Diligence Officer
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