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Introducing Broker Agreement

Introducing Broker Agreement Template for United Arab Emirates

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Key Requirements PROMPT example:

Introducing Broker Agreement

"I need an Introducing Broker Agreement for a UAE-based fintech company acting as primary broker, allowing international introducing brokers to refer institutional clients for securities trading, with a tiered commission structure and strict compliance requirements for cross-border introductions."

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Document background
The Introducing Broker Agreement is essential for financial institutions operating in the UAE market who wish to expand their client base through third-party introductions. This document is specifically designed to comply with UAE Securities and Commodities Authority (SCA) regulations and establishes the framework for a regulated introducing broker to refer clients to a primary broker-dealer. The agreement covers critical aspects such as commission structures, regulatory compliance requirements, client onboarding procedures, and risk management protocols. It's particularly important in the UAE financial services sector where specific regulatory requirements govern broker relationships and client introductions. The document includes necessary provisions for anti-money laundering compliance, client documentation requirements, and reporting obligations specific to the UAE regulatory environment.
Suggested Sections

1. Parties: Identification of the introducing broker and the primary broker, including their regulated status and license details

2. Background: Context of the agreement, regulatory framework, and business relationship overview

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

4. Scope of Services: Detailed description of introducing broker's services, permitted activities, and limitations

5. Regulatory Compliance: Obligations regarding UAE regulatory requirements, SCA regulations, and applicable laws

6. Representations and Warranties: Standard and specific warranties regarding licensing, capacity, and regulatory status

7. Compensation: Commission structure, payment terms, and calculation methods

8. Client Relationships: Rules regarding client introduction, onboarding, and relationship management

9. Confidentiality: Confidentiality obligations and data protection requirements

10. Term and Termination: Duration of agreement and termination provisions

11. Record Keeping: Requirements for maintaining records as per UAE regulations

12. Indemnification: Mutual indemnification provisions and liability allocation

13. Governing Law and Jurisdiction: UAE law as governing law and jurisdiction specifications

Optional Sections

1. Non-Compete: Restrictions on competitive activities, used when exclusivity is required

2. White Labeling: Provisions for white-labeled services if broker offers platform access

3. Training and Support: Details of training provided to introducing broker's staff, if applicable

4. Marketing and Promotion: Guidelines for marketing activities, used when introducing broker will conduct promotion

5. Insurance Requirements: Specific insurance obligations, used for higher-risk relationships

6. Dispute Resolution: Alternative dispute resolution procedures, used when parties prefer arbitration

7. Force Majeure: Force majeure provisions, particularly relevant for electronic trading services

Suggested Schedules

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

2. Schedule 2 - Approved Jurisdictions: List of jurisdictions where introducing broker may source clients

3. Schedule 3 - Required Documentation: List of documents required for client onboarding

4. Schedule 4 - Compliance Procedures: Detailed compliance procedures and requirements

5. Schedule 5 - Service Level Agreement: Performance metrics and service standards

6. Appendix A - Required Disclosures: Standard disclosures required by UAE regulations

7. Appendix B - Contact Details: Key personnel and escalation contacts for both parties

Authors

Alex Denne

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

Linkedin in social icon imageX social icon image
alex.den.21@genieai.co
Relevant legal definitions
Agreement
Applicable Laws
Approved Jurisdiction
Associated Person
Business Day
Client
Client Agreement
Client Information
Commission
Confidential Information
Control
Effective Date
Eligible Client
Force Majeure Event
Group
Intellectual Property Rights
Introduced Client
Introduction
Introduction Date
KYC
Material Adverse Effect
Minimum Commission
Notice
Parties
Primary Broker
Primary Broker Agreement
Professional Client
Regulatory Authority
Regulatory Requirements
Representatives
SCA
Services
Term
Territory
Trading Platform
UAE
Working Hours
AML Laws
Broker License
Commission Period
Compliance Requirements
DFSA
Documentation Requirements
Due Diligence
Financial Year
Introducing Broker
Marketing Materials
Onboarding Process
Retail Client
Service Level Requirements
Trading Documentation
Clauses
Appointment
Services
Regulatory Compliance
Client Introduction
Commission
Payment Terms
Representations and Warranties
Obligations
Client Onboarding
Documentation Requirements
Confidentiality
Data Protection
Intellectual Property
Non-Compete
Non-Solicitation
Record Keeping
Reporting
Anti-Money Laundering
Know Your Client
Risk Allocation
Indemnification
Limitation of Liability
Insurance
Term
Termination
Force Majeure
Assignment
Notices
Amendment
Severability
Entire Agreement
Governing Law
Dispute Resolution
Third Party Rights
Authority
Marketing
Service Levels
Audit Rights
Electronic Trading
Training
Business Continuity
Relevant Industries

Financial Services

Investment Banking

Securities Trading

Wealth Management

Asset Management

Commodity Trading

Financial Technology

Professional Services

Investment Advisory

Relevant Teams

Legal

Compliance

Business Development

Operations

Risk Management

Client Relations

Trading

Finance

Regulatory Affairs

Partnership Management

Relevant Roles

Compliance Officer

Legal Counsel

Business Development Manager

Relationship Manager

Chief Operations Officer

Risk Manager

Head of Trading

Broker-Dealer Representative

Financial Services Director

Regulatory Affairs Manager

Partnership Manager

Client Onboarding Manager

Chief Executive Officer

Industries
UAE Federal Law No. 32 of 2021 (Commercial Companies Law): Governs commercial relationships and business structures in the UAE, providing the foundational framework for business agreements
SCA Decision No. (3/R) of 2001: Regulations concerning the functioning of the UAE securities and commodities market, including broker activities and requirements
UAE Federal Law No. 4 of 2000: Law concerning the Emirates Securities and Commodities Authority (ESCA) and Market, establishing regulatory framework for securities activities
SCA Board Resolution No. (27) of 2014: Regulations for brokerage activities in securities, including requirements for introducing brokers and their obligations
UAE Federal Law No. 20 of 2018: Anti-Money Laundering Law which sets requirements for financial service providers including brokers regarding AML compliance
DIFC Law No. 1 of 2004 (if applicable for DIFC): Regulatory Law specific to the Dubai International Financial Centre if the agreement involves DIFC-based entities
UAE Federal Law No. 5 of 1985 (Civil Code): Provides general principles of contract law and obligations that would apply to the agreement
SCA Administrative Decision No. (11) of 2016: Regulations concerning market-making and liquidity provision, relevant for brokerage activities
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,  Leaves of Absence, Confidentiality, Intellectual Property, Non-Solicitation, Non-Competition, Code of Conduct, Termination,  Severance Pay, Governing Law, Entire Agreemen

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