The Introducing Broker Agreement is essential for investment firms operating in Malta's sophisticated financial services sector who wish to expand their client base through third-party intermediaries. This document is specifically designed to comply with Malta's regulatory framework, including MFSA requirements and EU regulations such as MiFID II and GDPR. It's typically used when an investment firm wants to formalize a relationship with an introducing broker who will refer potential clients, while ensuring all regulatory obligations are met. The agreement covers crucial elements such as broker responsibilities, compliance requirements, commission structures, and risk management protocols. Given Malta's position as a European financial center, the agreement often includes provisions for cross-border activities and international client introductions, while maintaining compliance with both local and EU regulatory requirements.
Introducing Broker Agreement for Malta
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Key Requirements PROMPT example:
Introducing Broker Agreement
"I need an Introducing Broker Agreement for our Malta-based wealth management firm that allows international brokers to introduce high-net-worth clients from EU countries, with specific provisions for AML compliance and a tiered commission structure based on client portfolio size."
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1. Parties: Identification of the principal firm and the introducing broker, including their regulatory status and contact details
2. Background: Context of the agreement, including the business relationship's purpose and the parties' regulatory authorizations
3. Definitions: Key terms used throughout the agreement, including regulatory terminology and service-specific definitions
4. Appointment and Scope: Terms of the introducing broker's appointment and detailed scope of authorized activities
5. Regulatory Compliance: Obligations regarding MFSA rules, MiFID II requirements, and other applicable regulations
6. Duties of the Introducing Broker: Specific responsibilities including client introduction procedures, documentation requirements, and prohibited activities
7. Duties of the Principal Firm: Principal firm's obligations regarding client acceptance, service provision, and broker support
8. Compliance with AML Requirements: Specific obligations regarding anti-money laundering procedures and customer due diligence
9. Remuneration: Commission structure, payment terms, and calculation methods
10. Representations and Warranties: Standard and specific warranties regarding licensing, compliance, and capacity
11. Record Keeping: Requirements for maintaining records in compliance with Maltese law and regulatory requirements
12. Confidentiality: Provisions for handling confidential information and client data
13. Data Protection: GDPR compliance requirements and data handling procedures
14. Indemnification: Mutual indemnification provisions and liability allocation
15. Term and Termination: Duration of the agreement and circumstances for termination
16. Post-Termination Obligations: Continuing obligations after agreement termination
17. General Provisions: Standard boilerplate clauses including notices, amendments, and governing law
1. White Label Services: Include when the introducing broker will be using branded materials from the principal firm
2. Marketing and Promotion: Include when the broker has specific rights to promote the principal's services
3. Non-Compete Provisions: Include when parties agree to territorial or client-based exclusivity
4. Insurance Requirements: Include when specific professional indemnity insurance levels are required
5. Service Level Agreement: Include when specific performance metrics need to be maintained
6. Dispute Resolution: Include when parties want specific arbitration or mediation procedures
7. Force Majeure: Include when parties want specific provisions for unforeseen circumstances
1. Schedule 1 - Commission Structure: Detailed breakdown of commission rates and calculation methods
2. Schedule 2 - Approved Territories: List of jurisdictions where the introducing broker is authorized to operate
3. Schedule 3 - Compliance Procedures: Detailed compliance requirements and procedures
4. Schedule 4 - Required Documentation: Templates and forms for client introductions and due diligence
5. Schedule 5 - Service Level Requirements: Specific performance metrics and service standards
6. Appendix A - AML Procedures: Detailed anti-money laundering procedures and requirements
7. Appendix B - Data Protection Requirements: Specific GDPR and data protection compliance procedures
Authors
Relevant legal definitions
Clauses
Relevant Industries
Financial Services
Investment Banking
Wealth Management
Asset Management
Corporate Finance
Securities Trading
Fund Management
Financial Technology
Professional Services
Banking
Relevant Teams
Legal
Compliance
Business Development
Risk Management
Operations
Client Relations
Regulatory Affairs
Corporate Development
Investment Management
Partnership Management
Relevant Roles
Chief Executive Officer
Chief Compliance Officer
Head of Legal
Business Development Director
Relationship Manager
Compliance Manager
Legal Counsel
Risk Manager
Investment Director
Head of Operations
Chief Risk Officer
Business Development Manager
Regulatory Affairs Manager
Partner (Professional Services)
Head of Client Relations
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