The Broker Referral Agreement is essential for businesses operating in Malta's financial services sector and related industries where referral arrangements are common. This document is particularly relevant given Malta's position as a financial services hub and its comprehensive regulatory framework. The agreement is designed to comply with Maltese law, including requirements set by the Malta Financial Services Authority (MFSA) and relevant EU regulations. It's typically used when one party wishes to formally establish an arrangement to refer clients or business opportunities to another party in exchange for compensation. The document covers crucial aspects such as referral mechanisms, fee structures, compliance obligations, data protection requirements, and risk allocation between parties. The Broker Referral Agreement is particularly important in Malta's highly regulated financial services environment, where clear documentation of business relationships and compliance with regulatory requirements is essential.
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1. Parties: Identification of the referring broker and the receiving party, including full legal names, registration numbers, and registered addresses
2. Background: Context of the agreement, business relationship, and purpose of the referral arrangement
3. Definitions and Interpretation: Definitions of key terms used throughout the agreement and rules of interpretation
4. Scope of Services: Detailed description of referral services, including what constitutes a qualified referral
5. Referral Process: Step-by-step process for making and accepting referrals, including any documentation requirements
6. Compensation and Payment Terms: Structure of referral fees, payment calculations, timing, and payment methods
7. Obligations of the Parties: Specific duties and responsibilities of both the referring broker and receiving party
8. Compliance Requirements: Regulatory compliance obligations, including licensing, permits, and regulatory approvals
9. Confidentiality: Protection of confidential information and trade secrets
10. Data Protection: GDPR compliance and data handling requirements
11. Term and Termination: Duration of the agreement and circumstances for termination
12. Representations and Warranties: Standard and specific warranties from both parties
13. Limitation of Liability: Limitations on liability and indemnification provisions
14. General Provisions: Standard boilerplate clauses including notices, assignments, amendments, and governing law
1. Non-Compete: Restrictions on competitive activities, used when parties want to prevent competition in specific markets
2. Training and Support: Details of any training or support provided by either party, included when there's a significant operational component
3. Marketing and Branding: Guidelines for using each party's branding and marketing materials, included when joint marketing is contemplated
4. Service Levels: Specific performance metrics and standards, used in more sophisticated referral arrangements
5. Dispute Resolution: Specific dispute resolution procedures, included when parties want alternative dispute resolution mechanisms
6. Insurance Requirements: Specific insurance coverage requirements, included for high-value or high-risk referral arrangements
7. Audit Rights: Rights to audit referral records and payments, included in complex or high-value arrangements
1. Schedule 1 - Referral Fee Structure: Detailed breakdown of referral fees, commission tiers, and calculation methods
2. Schedule 2 - Referral Process Flow: Detailed workflow and procedures for making and processing referrals
3. Schedule 3 - Compliance Requirements: Specific regulatory requirements and compliance procedures
4. Schedule 4 - Reporting Templates: Standard forms and templates for referral reporting and tracking
5. Schedule 5 - Approved Marketing Materials: Pre-approved marketing materials and usage guidelines
6. Appendix A - Data Processing Agreement: Detailed GDPR-compliant data processing terms and procedures
7. Appendix B - Contact Details: Key contact information for both parties and escalation procedures
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