Broker Dealer Agreement Template for Germany

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Key Requirements PROMPT example:

Broker Dealer Agreement

"I need a Broker Dealer Agreement for my German investment firm that will provide electronic trading services to institutional clients, with specific focus on derivatives trading and strict compliance with BaFin requirements, planned to be effective from March 2025."

Document background

The Broker Dealer Agreement is a critical document used to establish and regulate the relationship between a licensed broker-dealer and its clients under German law. It is essential when a financial institution provides securities trading, execution, or related financial services in Germany. The agreement ensures compliance with German regulatory requirements, including the Banking Act (KWG), Securities Trading Act (WpHG), and EU regulations such as MiFID II. It typically includes detailed provisions on service scope, regulatory obligations, client classification, best execution, risk disclosures, and fee arrangements. This document is particularly important for financial institutions operating in Germany's regulated financial markets and must be reviewed by BaFin-compliant legal and compliance teams.

Suggested Sections

1. Parties: Identification of the contracting parties, including regulatory status and authorizations

2. Background: Context of the agreement and brief description of the parties' business relationship

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

4. Scope of Services: Detailed description of broker-dealer services to be provided

5. Regulatory Compliance: Obligations under German financial regulations, including KWG and WpHG requirements

6. Client Classification: Classification of the client under MiFID II/WpHG and resulting obligations

7. Best Execution: Best execution obligations and order handling procedures

8. Fees and Compensation: Fee structure, payment terms, and compensation arrangements

9. Representations and Warranties: Key statements and assurances from both parties

10. Anti-Money Laundering: AML obligations and procedures under GwG

11. Data Protection: GDPR compliance and data handling requirements

12. Confidentiality: Confidentiality obligations and information handling

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

14. Liability and Indemnification: Liability limitations and indemnification obligations

15. Governing Law and Jurisdiction: Application of German law and jurisdiction for disputes

Optional Sections

1. Research Services: Terms for providing investment research, required if research services are offered

2. Electronic Trading: Specific terms for electronic trading platforms and systems, if applicable

3. Securities Lending: Terms for securities lending services, if offered

4. Clearing Services: Terms for clearing services, if provided

5. Force Majeure: Provisions for extraordinary events affecting performance

6. Marketing and Branding: Terms for use of brands and marketing materials

7. Sub-delegation: Terms for delegation of services to third parties

8. Corporate Actions: Procedures for handling corporate actions, if relevant

Suggested Schedules

1. Schedule 1 - Service Level Agreement: Detailed operational procedures and service levels

2. Schedule 2 - Fee Schedule: Detailed breakdown of fees and charges

3. Schedule 3 - Best Execution Policy: Detailed best execution procedures and venues

4. Schedule 4 - Order Handling Rules: Specific procedures for order handling and allocation

5. Schedule 5 - Compliance Requirements: Detailed compliance procedures and requirements

6. Schedule 6 - Contact Details: Key contacts and escalation procedures

7. Appendix A - Required Regulatory Disclosures: Mandatory disclosures under German financial regulations

8. Appendix B - Technical Requirements: Technical specifications for systems and connectivity

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

Banking

Investment Management

Asset Management

Securities Trading

Capital Markets

Wealth Management

Corporate Finance

Investment Banking

Fund Management

Relevant Teams

Legal

Compliance

Trading

Operations

Risk Management

Client Services

Regulatory Reporting

Business Development

Account Management

Investment Operations

Documentation

Front Office

Middle Office

Back Office

Relevant Roles

Chief Compliance Officer

Legal Counsel

Head of Trading

Compliance Manager

Risk Manager

Operations Director

Head of Broker-Dealer Relations

Trading Desk Manager

Regulatory Reporting Officer

Client Services Director

Head of Legal

Business Development Manager

Account Manager

Investment Operations Manager

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Authors

Alex Denne

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