Broker Agreement

Broker Agreement Template for Hong Kong

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Key Requirements PROMPT example:

"I need a Broker Agreement for my Hong Kong-based securities firm that will primarily serve retail clients, including provisions for electronic trading platform access and mobile app trading services, planned to launch in March 2025."

Document background

The Broker Agreement is a fundamental document used in the Hong Kong financial services industry to formalize the relationship between licensed brokers and their clients. It is required under the Securities and Futures Ordinance and must comply with regulations set by the Hong Kong Securities and Futures Commission (SFC). The agreement covers essential aspects such as service scope, trading authorization, fee structures, risk disclosures, and compliance obligations. This document is particularly important in Hong Kong's role as a major financial center, where brokers frequently deal with both local and international clients. The agreement must address specific requirements for different client categories (retail, professional, institutional) and include mandatory risk disclosures and client protection measures as required by Hong Kong regulations.

Suggested Sections

1. Parties: Identification of the broker and the client, including licensing details of the broker

2. Background: Context of the agreement and brief description of the brokerage services to be provided

3. Definitions: Definitions of key terms used throughout the agreement

4. Appointment and Scope of Services: Details of broker's appointment and specific services to be provided

5. Broker's Obligations: Key responsibilities and duties of the broker, including regulatory compliance requirements

6. Client's Obligations: Client's responsibilities, including provision of information and cooperation

7. Fees and Payment: Commission structure, fees, expenses, and payment terms

8. Representations and Warranties: Standard representations from both parties, including regulatory status and capacity

9. Compliance with Laws: Obligations regarding regulatory compliance, especially SFO requirements

10. Confidentiality: Provisions for handling confidential information and client data

11. Liability and Indemnification: Limitation of liability and mutual indemnification provisions

12. Term and Termination: Duration of agreement and circumstances for termination

13. General Provisions: Standard boilerplate clauses including notices, amendments, governing law

Optional Sections

1. Electronic Trading Services: Include when broker provides online trading platforms or electronic services

2. Margin Trading: Include when margin trading services are offered

3. Research Services: Include when broker provides investment research to clients

4. Custody Services: Include when broker provides custody of client assets

5. International Trading: Include for cross-border trading services

6. Force Majeure: Include for specific market disruption events

7. Anti-Money Laundering: Detailed AML provisions when dealing with high-risk clients

8. Data Protection: Enhanced data protection clauses for handling sensitive personal data

Suggested Schedules

1. Schedule 1 - Fee Schedule: Detailed breakdown of all fees, commissions, and charges

2. Schedule 2 - Services Description: Detailed description of specific brokerage services offered

3. Schedule 3 - Authorized Persons: List of persons authorized to give instructions on behalf of the client

4. Schedule 4 - Risk Disclosure Statement: Required risk disclosures under Hong Kong regulations

5. Schedule 5 - Trading Rules and Procedures: Specific procedures for order placement and execution

6. Appendix A - Account Opening Form: Standard form for collecting client information

7. Appendix B - Compliance Documentation: Required regulatory forms and declarations

Authors

Alex Denne

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

alex.den.21@genieai.co

Relevant legal definitions

Clauses

Relevant Industries

Financial Services

Investment Banking

Securities Trading

Asset Management

Wealth Management

Corporate Finance

Private Banking

Investment Advisory

Capital Markets

Professional Services

Relevant Teams

Legal

Compliance

Risk Management

Operations

Client Services

Trading

Business Development

Regulatory Affairs

Account Management

Investment Advisory

Relevant Roles

Compliance Officer

Legal Counsel

Risk Manager

Relationship Manager

Investment Advisor

Trading Manager

Operations Director

Client Services Manager

Business Development Manager

Chief Operating Officer

Head of Brokerage

Account Manager

Regulatory Affairs Officer

Chief Compliance Officer

General Counsel

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Authors

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