tiktok成人版

Introducing Broker Agreement for India

Introducing Broker Agreement Template for India

A comprehensive legal agreement governed by Indian law that establishes the relationship between an executing broker and an introducing broker in the securities market. The document outlines the terms and conditions under which the introducing broker refers clients to the executing broker for trading services, including commission arrangements, regulatory compliance requirements under SEBI guidelines, operational procedures, and mutual obligations. It incorporates specific provisions for client onboarding, KYC requirements, and risk management procedures in accordance with Indian securities regulations.

Your data doesn't train Genie's AI

You keep IP ownership聽of your information

Thank you! Your submission has been received!
Oops! Something went wrong while submitting the form.

Download a Standard Template

4.6 / 5
4.8 / 5
Access for free
OR

Alternatively: Run an advanced review of an existing
Introducing Broker Agreement

Let tiktok成人版's market-leading legal AI identify missing terms, unusual language, compliance issues and more - in just seconds.

What is a Introducing Broker Agreement?

The Introducing Broker Agreement is essential for financial institutions operating in India's securities market who wish to establish formal referral relationships. This document is typically used when a registered broker-dealer (the introducing broker) wants to leverage their client relationships by referring trading business to another broker (the executing broker) who has more extensive trading capabilities or better infrastructure. The agreement must comply with SEBI regulations and addresses key aspects such as commission sharing, client handling procedures, regulatory compliance, and risk management. It's particularly relevant in today's market where specialized roles and partnerships are increasingly common in the securities industry. The document includes specific provisions for technology integration, client confidentiality, and operational procedures while ensuring alignment with Indian securities laws and SEBI guidelines.

What sections should be included in a Introducing Broker Agreement?

1. Parties: Identification of the executing broker and introducing broker with their respective regulatory registrations and contact details

2. Background: Context of the agreement, including the introducing broker's desire to refer clients and the executing broker's willingness to provide trading services

3. Definitions: Key terms used throughout the agreement, including regulatory terminology and business-specific definitions

4. Scope of Services: Detailed description of the introducing broker's role and limitations, including client referral terms

5. Regulatory Compliance: Obligations of both parties to comply with SEBI regulations and other applicable laws

6. Compensation Structure: Terms of commission sharing, payment calculations, and settlement procedures

7. Client Onboarding: Process and responsibilities for KYC, documentation, and client acceptance

8. Representations and Warranties: Standard and specific representations by both parties regarding licenses, capabilities, and compliance

9. Confidentiality: Protection of confidential information and client data

10. Term and Termination: Duration of the agreement and circumstances for termination

11. Indemnification: Mutual indemnification provisions and liability allocation

12. General Provisions: Standard clauses including notices, amendments, governing law, and dispute resolution

What sections are optional to include in a Introducing Broker Agreement?

1. Non-Compete: Restrictions on working with other brokers, used when exclusivity is required

2. White Labeling: Terms for using the executing broker's trading platform under the introducing broker's brand

3. Training and Support: Details of training and operational support provided by the executing broker

4. Marketing Guidelines: Rules for marketing and client communications, included when the introducing broker will conduct marketing activities

5. Digital Services: Terms for online platform access and digital communications, included when electronic services are provided

6. Cross-Border Provisions: Additional terms for international client referrals, included when dealing with foreign clients

What schedules should be included in a Introducing Broker Agreement?

1. Schedule 1 - Commission Structure: Detailed breakdown of commission rates, sharing ratios, and calculation methods

2. Schedule 2 - Operating Procedures: Step-by-step procedures for client referral, account opening, and ongoing operations

3. Schedule 3 - Compliance Requirements: Specific regulatory requirements, reporting obligations, and compliance procedures

4. Schedule 4 - Required Documentation: List of mandatory documents for client onboarding and KYC

5. Schedule 5 - Contact Details: Key personnel and escalation matrix for both parties

6. Appendix A - Service Level Agreement: Performance metrics and service standards for both parties

7. Appendix B - Technology Requirements: Technical specifications and requirements for system integration

Authors

Alex Denne

Head of Growth (Open Source Law) @ tiktok成人版 | 3 x UCL-Certified in Contract Law & Drafting | 4+ Years Managing 1M+ Legal Documents | Serial Founder & Legal AI Author

Jurisdiction

India

Document Type

Broker Agreement

Cost

Free to use
Relevant legal definitions




























Clauses
































Relevant Industries

Financial Services

Securities Trading

Investment Banking

Wealth Management

Asset Management

Financial Technology

Professional Services

Capital Markets

Relevant Teams

Legal

Compliance

Operations

Business Development

Risk Management

Trading

Finance

Client Services

Partnerships

Product Management

Relevant Roles

Compliance Officer

Legal Counsel

Business Development Manager

Relationship Manager

Chief Operating Officer

Head of Trading

Risk Manager

Operations Manager

Chief Executive Officer

Head of Compliance

General Counsel

Business Head - Broking

Partnership Manager

Chief Financial Officer

Industries








Teams

Employer, Employee, Start Date, Job Title, Department, Location, Probationary Period, Notice Period, Salary, Overtime, Vacation Pay, Statutory Holidays, Benefits, Bonus, Expenses, Working Hours, Rest Breaks, 聽Leaves of Absence, Confidentiality, Intellectual Property, Non-Solicitation, Non-Competition, Code of Conduct, Termination, 聽Severance Pay, Governing Law, Entire Agreemen

Find the exact document you need

Co Broker Agreement (Insurance)

An agreement governing collaboration between two insurance brokers in India, including commission sharing and compliance with IRDAI regulations.

find out more

Real Estate Broker Contract With Seller

An Indian law-governed agreement between a property seller and real estate broker establishing terms for property sale services and commission.

find out more

Insurance Broker Contract

An IRDAI-compliant agreement between an insurance broker and client in India, defining services, obligations, and terms of engagement.

find out more

Time Brokerage Agreement

An Indian law-governed agreement between a station owner and time broker for the purchase and use of broadcast time slots, complying with TRAI regulations.

find out more

International Broker Agreement

An Indian law-governed agreement establishing terms between a principal company and international broker for cross-border business representation.

find out more

Business Broker Contract

An Indian law-governed agreement establishing terms and conditions between a business broker and client for professional business sale or acquisition services.

find out more

Sub Broker Agreement

An agreement between a stock broker and sub-broker in India, governed by SEBI regulations, establishing terms for securities trading intermediary services.

find out more

Mortgage Broker Contract

An Indian law-governed agreement between a mortgage broker and client, establishing terms for mortgage broking services and regulatory compliance.

find out more

Freight Broker Agent Agreement

An Indian law-governed agreement establishing the terms and conditions between a freight broker and their appointed agent for freight transportation services.

find out more

Commercial Brokerage Contract

An Indian law-governed agreement establishing terms between a broker and client for commercial intermediary services, including commission structures and mutual obligations.

find out more

Buyer Broker Contract

An Indian law-governed agreement between a property buyer and real estate broker defining services, responsibilities, and compensation terms under RERA compliance.

find out more

Buyer Agent Commission Agreement

An Indian law-governed agreement establishing the terms and commission structure between a property buyer and their real estate agent, compliant with RERA regulations.

find out more

Business Broker NDA

An Indian law-governed NDA for business brokers handling confidential information during business sales and acquisitions.

find out more

Estate Agency Agreement

An Indian-law compliant agreement between property owner and real estate agent establishing terms for property sale/lease representation, aligned with RERA requirements.

find out more

Buyer Broker Agreement

An Indian law-compliant agreement establishing terms between a real estate broker and property buyer, outlining services, obligations, and compensation structure.

find out more

Wholesale Broker Agreement

An Indian law-governed agreement establishing terms and conditions between a principal company and wholesale broker for facilitating wholesale trade transactions.

find out more

Tenant Broker Agreement

An Indian law-governed agreement between a real estate broker and tenant, defining property search services and compensation terms under RERA compliance.

find out more

Split Commission Agreement

An Indian law-governed agreement establishing terms for commission sharing between parties, including split ratios, payment terms, and compliance requirements.

find out more

Seller Agency Agreement

An Indian law-governed agreement establishing the terms and conditions between a principal and their sales agent, including commission structure and territorial rights.

find out more

Sales Broker Agreement

An Indian law-governed agreement establishing terms and conditions between a principal company and sales broker for product/service representation and sales.

find out more

Registration Agreement Between Broker And Owner

An Indian legal agreement establishing the terms and conditions between a property owner and real estate broker under RERA framework for property marketing and transaction services.

find out more

Real Estate Broker Referral Agreement

An Indian law-governed agreement establishing referral arrangements between real estate brokers, including commission terms and RERA compliance requirements.

find out more

Real Estate Broker Commission Agreement

An Indian law-compliant agreement establishing commission terms and service scope between property owner and real estate broker.

find out more

Real Estate Agent Independent Contractor Agreement

An Indian law-governed agreement establishing an independent contractor relationship between a real estate brokerage and agent, ensuring RERA compliance.

find out more

Broker Dealer Selling Agreement

An Indian law-governed agreement establishing terms between broker-dealers and product issuers for securities distribution, ensuring SEBI compliance and operational framework.

find out more

Broker Cooperation Agreement

An Indian law-governed agreement establishing cooperation terms between brokers, including commission sharing and operational procedures.

find out more

Broker Contract Agreement

An Indian law-governed agreement establishing terms and conditions between a principal and broker for intermediary services.

find out more

Broker Commission Agreement

An Indian law-governed agreement establishing the terms and commission structure between a principal and broker for business intermediary services.

find out more

Broker Client Agreement

An Indian law-governed agreement between a stock broker and client establishing terms for securities trading and related services, compliant with SEBI regulations.

find out more

Broker And Carrier Agreement

A legally binding agreement between a freight broker and carrier company operating under Indian jurisdiction, governing transportation services and operational relationships.

find out more

Broker Agent Commission Split Agreement

An Indian law-governed agreement defining commission split arrangements and terms between real estate brokers and their agents.

find out more

Agreement Between Real Estate Agent And Seller

An Indian law-compliant agreement between a property seller and real estate agent establishing terms for property sale representation and commission.

find out more

Agreement Between Landlord And Real Estate Agent

An Indian law-compliant agreement establishing terms and conditions between a landlord and real estate agent for property marketing, leasing, or sale services.

find out more

Agreement Between Builder And Broker

An Indian law-governed agreement establishing terms and conditions between a property developer and real estate broker, ensuring RERA compliance.

find out more

Agreement Between Broker And Buyer

An Indian law-governed agreement establishing terms and conditions between a real estate broker and property buyer, ensuring RERA compliance and defining service scope and commission terms.

find out more

Agent Commission Sharing Agreement

An Indian law-governed agreement that establishes terms for sharing commission between multiple agents, defining payment structures and obligations.

find out more

Agent Commission Agreement

An India-compliant agreement establishing terms and commission structure between a principal company and its sales agent(s).

find out more

Net Brokerage Agreement

An Indian law-governed agreement establishing terms and commission structures for brokerage services between a broker and principal company.

find out more

Mortgage Broker Agreement

An Indian law-governed agreement establishing terms between a mortgage broker and client for mortgage facilitation services, compliant with RBI regulations.

find out more

Master Broker Agreement

An Indian law-governed agreement establishing the terms between a stock broker and clients for securities trading services, incorporating SEBI regulations and exchange rules.

find out more
See more related templates

骋别苍颈别鈥檚 Security Promise

Genie is the safest place to draft. Here鈥檚 how we prioritise your privacy and security.

Your documents are private:

We do not train on your data; 骋别苍颈别鈥檚 AI improves independently

All data stored on Genie is private to your organisation

Your documents are protected:

Your documents are protected by ultra-secure 256-bit encryption

We are ISO27001 certified, so your data is secure

Organizational security:

You retain IP ownership of your documents and their information

You have full control over your data and who gets to see it