Broker Client Agreement Template for Germany

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Key Requirements PROMPT example:

Broker Client Agreement

"I need a Broker Client Agreement under German law for my fintech company launching in March 2025, specifically for retail clients using our online trading platform with cryptocurrency and forex trading services."

Document background

The Broker Client Agreement serves as the foundational contract between licensed financial brokers and their clients in Germany, establishing the framework for providing regulated financial services. This document is essential for compliance with German financial regulations, including the Securities Trading Act (WpHG) and Banking Act (KWG), as well as EU directives such as MiFID II. The agreement is typically used when establishing new brokerage relationships or updating existing arrangements to reflect regulatory changes. It encompasses crucial elements such as service scope, client classification, fee structures, risk disclosures, and regulatory obligations. The document must be tailored to the specific type of brokerage services offered while maintaining compliance with German legal requirements and financial services regulations.

Suggested Sections

1. Parties: Identification of the broker and client, including regulatory status and contact details

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

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

4. Scope of Services: Detailed description of brokerage services, including any limitations and restrictions

5. Client Classification: Classification of the client (retail/professional) and implications thereof

6. Client Instructions and Orders: Process for placing and executing orders, including communication methods

7. Fees and Commissions: Detailed fee structure, payment terms, and commission calculations

8. Client Obligations: Client's responsibilities, including providing accurate information and maintaining eligibility

9. Broker's Obligations: Broker's duties, including regulatory compliance and standard of service

10. Risk Disclosures: Mandatory risk warnings and acknowledgments

11. Conflict of Interest: Policies and procedures for managing conflicts of interest

12. Data Protection: GDPR compliance and data handling procedures

13. Anti-Money Laundering: AML obligations and procedures

14. Termination: Conditions and process for ending the agreement

15. Governing Law and Jurisdiction: Confirmation of German law application and jurisdiction

Optional Sections

1. Online Trading Platform: Terms specific to electronic trading platforms, include if online trading services are offered

2. Research Services: Terms regarding research and analysis services, include if investment research is provided

3. Margin Trading: Terms for margin trading services, include if margin trading is offered

4. Portfolio Management: Terms for discretionary management services, include if portfolio management is offered

5. Corporate Actions: Procedures for handling corporate actions, include for securities trading

6. Foreign Exchange Services: Terms for FX trading services, include if forex trading is offered

7. Professional Client Terms: Additional terms for professional clients, include if serving professional clients

8. Joint Account Provisions: Terms for joint accounts, include if joint accounts are permitted

Suggested Schedules

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

2. Schedule 2: Trading Hours and Cut-off Times: Operating hours and important timing requirements

3. Schedule 3: Execution Policy: Detailed best execution policy as required by MiFID II

4. Schedule 4: Risk Disclosure Statement: Comprehensive risk warnings for different investment types

5. Schedule 5: Privacy Policy: Detailed data protection and privacy procedures

6. Appendix A: Account Opening Forms: Required documentation for account opening

7. Appendix B: Power of Attorney Form: Standard POA form for authorized representatives

8. Appendix C: Trading Platform Terms: Specific terms and conditions for electronic trading platform

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

Securities Trading

Wealth Management

Asset Management

Corporate Finance

Investment Advisory

Private Banking

Retail Banking

FinTech

Relevant Teams

Legal

Compliance

Risk Management

Client Services

Operations

Trading

Account Management

Regulatory Affairs

Investment Advisory

Client Onboarding

Documentation

Product Management

Relevant Roles

Compliance Officer

Legal Counsel

Risk Manager

Investment Advisor

Broker

Financial Services Manager

Client Relationship Manager

Operations Manager

Trading Manager

Regulatory Affairs Officer

Account Manager

Investment Manager

Chief Compliance Officer

Head of Legal

Chief Risk Officer

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Authors

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