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Introducing Broker Agreement

Introducing Broker Agreement Template for Denmark

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Introducing Broker Agreement

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Document background
The Introducing Broker Agreement is essential for financial institutions and brokers operating in Denmark who wish to establish formal referral relationships. This document type is used when one party seeks to introduce clients to another party's financial services while ensuring compliance with Danish financial regulations, including the Danish Financial Business Act and MiFID II requirements. The agreement covers crucial aspects such as commission structures, regulatory compliance, client onboarding procedures, and data protection requirements. It is particularly important in the Danish context where financial services are highly regulated and must comply with both national and EU legislation. The agreement typically includes detailed provisions on anti-money laundering obligations, client classification, and reporting requirements specific to the Danish financial services sector.
Suggested Sections

1. Parties: Identification of the introducing broker and the receiving broker/financial institution

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

3. Definitions: Definitions of key terms used throughout the agreement

4. Scope of Services: Detailed description of introduction services and permitted activities

5. Regulatory Compliance: Obligations regarding regulatory requirements, licenses, and permissions

6. Duties and Responsibilities: Specific obligations of both parties in the introduction relationship

7. Client Onboarding: Procedures for introducing and onboarding new clients

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

9. Representations and Warranties: Statements of fact and assurances from both parties

10. Compliance with AML Requirements: Anti-money laundering and KYC obligations

11. Data Protection: GDPR compliance and data handling requirements

12. Confidentiality: Protection of confidential information and trade secrets

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

14. Liability and Indemnification: Allocation of risks and indemnification obligations

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

Optional Sections

1. White Labeling: Terms for using the receiving broker's platform under the introducing broker's brand

2. Marketing Guidelines: Rules for marketing and promotional activities, if the broker will conduct marketing

3. Sub-Introducing Brokers: Provisions for allowing or prohibiting the appointment of sub-introducing brokers

4. Non-Compete Provisions: Restrictions on competing activities, if required

5. Insurance Requirements: Specific insurance coverage requirements, if needed

6. Service Level Agreement: Specific performance metrics and standards, if applicable

7. Training Requirements: Provisions for staff training and certification, if required

Suggested Schedules

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

2. Approved Jurisdictions: List of jurisdictions where the introducing broker is permitted to introduce clients

3. Required Documentation: Templates and forms for client onboarding and due diligence

4. Compliance Procedures: Detailed compliance procedures and checklists

5. Technical Requirements: IT and system requirements for integration

6. Contact Details: Key personnel and escalation contacts for both parties

7. Marketing Guidelines: Detailed marketing rules and approved materials

8. Data Processing Agreement: Detailed GDPR-compliant data processing terms

Authors

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Relevant legal definitions
Agreement
Applicable Law
Approved Jurisdiction
Business Day
Client
Client Account
Client Documentation
Commencement Date
Confidential Information
Data Protection Laws
Effective Date
Eligible Client
Fee Schedule
Financial Services
Force Majeure Event
Intellectual Property Rights
Introducing Broker Services
Introduced Client
Introduction
Know Your Client (KYC)
Marketing Materials
MiFID II
Minimum Requirements
Payment Date
Personal Data
Receiving Broker
Regulatory Authority
Regulatory Requirements
Related Person
Remuneration
Services
Territory
Transaction
Working Hours
Finanstilsynet
Danish Financial Business Act
Commission
Compliance Documentation
Due Diligence Requirements
Licensed Activities
Onboarding Process
Professional Client
Retail Client
Sub-Introducing Broker
Trading Platform
White Label Services
Clauses
Appointment
Scope of Services
Regulatory Compliance
Licensing Requirements
Client Introduction
Due Diligence
Anti-Money Laundering
Know Your Client
Commission
Payment Terms
Representations and Warranties
Confidentiality
Data Protection
Record Keeping
Marketing and Promotion
Non-Solicitation
Non-Competition
Intellectual Property
Liability
Indemnification
Force Majeure
Term and Duration
Termination
Post-Termination
Assignment
Amendments
Notices
Severability
Entire Agreement
Governing Law
Jurisdiction
Dispute Resolution
Client Classification
Service Levels
Reporting Requirements
Insurance
Audit Rights
Sub-Contracting
White Labeling
Brand Usage
Territory Restrictions
Relevant Industries
Relevant Teams
Relevant Roles
Industries
Danish Financial Business Act (Lov om finansiel virksomhed): Primary legislation governing financial services in Denmark, including requirements for financial intermediaries and brokers
MiFID II (as implemented in Danish law): EU directive governing financial instruments and markets, including rules on client categorization, information disclosure, and best execution
Danish Contracts Act (Aftaleloven): Fundamental law governing contract formation, validity, and enforcement in Denmark
Danish Anti-Money Laundering Act (Hvidvaskloven): Regulations concerning AML/CTF obligations for financial intermediaries, including customer due diligence requirements
GDPR (as implemented in Danish Data Protection Act): Regulations governing the processing and protection of personal data, crucial for handling client information
Danish Marketing Practices Act (Markedsføringsloven): Regulations concerning marketing and business practices, including rules on fair marketing of financial services
Danish Capital Markets Act (Kapitalmarkedsloven): Legislation governing capital markets activities and securities trading
Danish Financial Supervisory Authority (Finanstilsynet) Guidelines: Regulatory guidelines and requirements specific to financial intermediaries and brokers
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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