Broker Client Agreement Template for Australia

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Key Requirements PROMPT example:

Broker Client Agreement

"I need a Broker Client Agreement for my Australian financial services firm that primarily deals with retail clients through an electronic trading platform, with specific provisions for cryptocurrency trading and automated risk warnings."

Document background

The Broker Client Agreement serves as the foundational document establishing the legal and operational relationship between a licensed financial broker and their clients in Australia. This agreement is essential for compliance with the Corporations Act 2001, ASIC regulations, and other relevant Australian financial services laws. It is typically used when a client engages a broker for services such as securities trading, investment advice, or account management. The agreement comprehensively covers service scope, obligations, risk disclosures, fee structures, and operational procedures, while incorporating necessary regulatory requirements including client money handling, privacy provisions, and mandatory disclosures. This document is crucial for both protecting the parties' interests and ensuring regulatory compliance in the Australian financial services sector.

Suggested Sections

1. Parties: Identifies the broker and client with full legal names and details

2. Background: Establishes context, broker's licensing status, and purpose of the agreement

3. Definitions: Defines key terms used throughout the agreement

4. Scope of Services: Details the specific broking services to be provided

5. Client Acknowledgments: Client's confirmation of understanding risks, receiving disclosures, and other key acknowledgments

6. Broker Obligations: Details the broker's duties, responsibilities, and standard of service

7. Client Obligations: Specifies client's responsibilities including information provision and cooperation

8. Fees and Charges: Comprehensive breakdown of all fees, charges, and payment terms

9. Communication and Instructions: Procedures for giving and receiving instructions and communications

10. Risk Disclosure: Mandatory risk warnings and disclosures

11. Privacy and Confidentiality: Handling of personal information and confidential data

12. Liability and Indemnity: Limitations of liability and indemnification provisions

13. Termination: Conditions and procedures for ending the agreement

14. General Provisions: Standard boilerplate clauses including governing law, notices, and amendment procedures

Optional Sections

1. Online Trading Platform: Include when providing access to electronic trading platforms, detailing access, security, and usage terms

2. International Trading: Include for services involving international markets, addressing specific risks and requirements

3. Margin Trading: Include if margin lending or trading is offered, detailing margin requirements and risks

4. Research Services: Include if providing research and analysis services, including disclaimers and usage terms

5. Corporate Actions: Include if handling corporate actions on behalf of clients

6. Joint Account Provisions: Include for joint account holders, detailing operational requirements

7. Power of Attorney: Include if discretionary trading authority is granted

8. Third Party Authorizations: Include if allowing third party access or authority over the account

Suggested Schedules

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

2. Schedule 2 - Authorized Markets: List of markets and products the broker is authorized to trade

3. Schedule 3 - Risk Disclosure Statement: Comprehensive risk warnings and disclosures required by regulations

4. Schedule 4 - Trading Rules: Specific rules and procedures for trading activities

5. Appendix A - Client Information Form: KYC and account opening information

6. Appendix B - Trading Platform Terms: Specific terms for electronic trading platform usage

7. Appendix C - Privacy Policy: Detailed privacy and data handling policies

8. Appendix D - Execution Policy: Best execution policy and procedures

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

alex.den.21@genieai.co

Relevant legal definitions

Clauses

Relevant Industries

Financial Services

Investment Banking

Wealth Management

Securities Trading

Commodities Trading

Foreign Exchange

Investment Management

Private Banking

Corporate Finance

Retail Banking

Relevant Teams

Legal

Compliance

Risk Management

Operations

Client Services

Trading

Business Development

Due Diligence

Account Management

Document Management

Relevant Roles

Compliance Officer

Legal Counsel

Broker

Financial Advisor

Relationship Manager

Risk Manager

Operations Manager

Chief Executive Officer

Chief Compliance Officer

Chief Legal Officer

Account Manager

Trading Manager

Client Services Manager

Due Diligence Officer

Business Development Manager

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Authors

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