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Investment Broker Agreement

Investment Broker Agreement Template for Germany

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Key Requirements PROMPT example:

Investment Broker Agreement

"I need an Investment Broker Agreement under German law for our Frankfurt-based firm providing investment services to institutional clients, with particular focus on cross-border transactions and research services to be launched in March 2025."

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Document background
The Investment Broker Agreement is a crucial document used to formalize the relationship between investment brokers and their clients in Germany. It is specifically designed to comply with German financial regulations, including the Banking Act (KWG), Securities Trading Act (WpHG), and relevant EU directives such as MiFID II. This agreement is essential when an investment broker begins providing regulated investment services to clients, whether retail or professional. The document covers key aspects such as service scope, fee structures, regulatory obligations, risk disclosures, and client classifications, while ensuring compliance with German financial supervision requirements overseen by BaFin. The Investment Broker Agreement serves as both a regulatory compliance tool and a commercial framework for the provision of investment services.
Suggested Sections

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

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

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

4. Scope of Services: Detailed description of investment broking services to be provided, including any limitations

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

6. Client Classification: Classification of the client (retail/professional) and corresponding protections

7. Duties and Obligations: Specific responsibilities of both parties, including information provision and documentation

8. Fees and Compensation: Fee structure, payment terms, and disclosure of any third-party compensation

9. Conflicts of Interest: Disclosure and management of potential conflicts

10. Anti-Money Laundering: AML obligations and required client cooperation

11. Data Protection: GDPR compliance and data handling procedures

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

13. Liability and Indemnification: Extent of liability and indemnification obligations

14. Final Provisions: Governing law, jurisdiction, and standard boilerplate clauses

Optional Sections

1. Online Services: Terms for any digital platform or online services provided - include if offering digital access

2. Research Services: Terms for providing investment research - include if offering research services

3. Portfolio Management: Additional terms for discretionary management - include if offering portfolio management

4. International Transactions: Specific provisions for cross-border services - include for international clients

5. Special Risk Disclosures: Additional risk warnings for specific investment types - include for complex products

6. Recording of Communications: Terms for recording client communications - include if implementing recording systems

Suggested Schedules

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

2. Schedule 2: Services Description: Detailed description of all available services and their specifications

3. Schedule 3: Risk Disclosures: Comprehensive risk warnings and disclosures required by German law

4. Schedule 4: Execution Policy: Best execution policy and order handling procedures

5. Schedule 5: Privacy Notice: Detailed data protection and privacy policies

6. Appendix A: Client Classification Criteria: Detailed criteria for client classification and associated protections

7. Appendix B: Conflicts of Interest Policy: Detailed policy for identifying and managing conflicts of interest

8. Appendix C: Required Documentation: List of required client documentation and verification requirements

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
Clauses
Appointment
Scope of Services
Regulatory Compliance
Client Classification
Best Execution
Client Orders
Fees and Commissions
Payment Terms
Representations and Warranties
Client Due Diligence
Anti-Money Laundering
Conflicts of Interest
Risk Disclosure
Confidentiality
Data Protection
Record Keeping
Reporting
Communication
Intellectual Property
Force Majeure
Term and Duration
Termination
Liability and Indemnification
Assignment
Variation
Notices
Severability
Entire Agreement
Governing Law
Jurisdiction
Relevant Industries

Financial Services

Banking

Investment Management

Wealth Management

Securities Trading

Asset Management

Corporate Finance

Professional Services

FinTech

Relevant Teams

Legal

Compliance

Risk Management

Investment Advisory

Client Relations

Operations

Finance

Business Development

Portfolio Management

Executive Management

Relevant Roles

Investment Broker

Compliance Officer

Legal Counsel

Risk Manager

Investment Advisor

Client Relationship Manager

Operations Manager

Chief Executive Officer

Chief Compliance Officer

Head of Investment Services

Financial Controller

Business Development Manager

Portfolio Manager

Industries
German Banking Act (Kreditwesengesetz - KWG): Primary legislation governing banking and financial services activities in Germany, including licensing requirements and regulatory framework for investment brokers
German Securities Trading Act (Wertpapierhandelsgesetz - WpHG): Regulates securities trading and investment services, including conduct rules, disclosure requirements, and investor protection measures
German Civil Code (Bürgerliches Gesetzbuch - BGB): Contains fundamental contract law provisions, including formation, performance, and termination of contracts
German Commercial Code (Handelsgesetzbuch - HGB): Governs commercial relationships and transactions between merchants, including commission business and commercial agents
German Anti-Money Laundering Act (Geldwäschegesetz - GwG): Sets requirements for customer due diligence, monitoring, and reporting obligations for financial service providers
German Investment Firm Act (Wertpapierinstitutgesetz - WpIG): Specific regulations for investment firms, including organizational requirements and conduct rules
General Data Protection Regulation (GDPR) and German Federal Data Protection Act (BDSG): Governs the processing of personal data, including financial information and customer data
MiFID II Implementation Acts: German implementation of EU Markets in Financial Instruments Directive II, affecting investment services and market structure
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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