Financial Agency Agreement Template for United States

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Key Requirements PROMPT example:

Financial Agency Agreement

"Need a Financial Agency Agreement for our investment firm to appoint a third-party agent to manage our European client portfolios, with specific provisions for multi-currency transactions and quarterly performance reporting, to be effective from March 2025."

Document background

The Financial Agency Agreement serves as a critical document in the U.S. financial services industry, establishing the framework for delegated financial authority and representation. This agreement is essential when a financial institution needs to appoint an agent to act on its behalf in various financial matters, from transaction processing to investment management. The document must comply with federal regulations including the Securities Exchange Act, Investment Advisers Act, and state-specific requirements. The agreement typically includes detailed provisions for compliance, risk management, reporting obligations, and compensation structures, while clearly defining the scope of the agent's authority and limitations.

Suggested Sections

1. Parties: Identifies the principal and agent, including full legal names and addresses

2. Background: Context of the agreement and general purpose of the agency relationship

3. Definitions: Key terms used throughout the agreement

4. Appointment and Scope: Formal appointment of agent and detailed scope of authority

5. Duties and Responsibilities: Specific obligations of both agent and principal

6. Compensation: Fee structure, payment terms, and expenses

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

8. Representations and Warranties: Statements of fact and guarantees by both parties

9. Indemnification: Provisions for compensation against loss or liability

10. Confidentiality: Protection of confidential information and trade secrets

11. Governing Law: Jurisdiction and applicable laws governing the agreement

Optional Sections

1. Exclusivity: Terms defining whether the agency relationship is exclusive or non-exclusive

2. Foreign Currency Provisions: Specific provisions for handling transactions in multiple currencies

3. Sub-Agency: Terms governing the appointment and management of sub-agents

4. Force Majeure: Provisions for unforeseeable circumstances preventing fulfillment of obligations

5. Regulatory Compliance: Specific compliance obligations and procedures under relevant financial regulations

Suggested Schedules

1. Schedule A - Fee Schedule: Detailed breakdown of all fees, commissions, and compensation structures

2. Schedule B - Service Level Agreement: Specific performance metrics, standards, and service requirements

3. Schedule C - Compliance Procedures: Detailed regulatory compliance requirements and procedures

4. Schedule D - Required Forms: Standard forms and documentation required for transactions

5. Schedule E - Authorized Personnel: List of authorized representatives and their respective authorities

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

Banking
Investment Services
Financial Technology
Insurance
Corporate Finance

Relevant Teams

Legal Department
Finance Team
Compliance Department
Risk Management
Treasury Department

Relevant Roles

Chief Financial Officer
Compliance Officer
Financial Controller
Investment Manager
Legal Counsel

Industries

Securities Exchange Act 1934: Federal law governing securities trading and establishing SEC oversight of financial markets

Investment Advisers Act 1940: Federal law regulating investment advisers and their responsibilities to clients

Bank Secrecy Act: Requires financial institutions to assist government agencies in detecting and preventing money laundering

Anti-Money Laundering Regulations: Set of rules and procedures designed to prevent criminals from disguising illegally obtained funds as legitimate income

USA PATRIOT Act: Enhances anti-money laundering requirements and includes provisions affecting financial institutions' customer identification procedures

Dodd-Frank Act: Comprehensive financial reform legislation addressing systemic risks in the financial system and consumer protection

Foreign Corrupt Practices Act: Federal law prohibiting bribery of foreign officials to obtain or retain business

SEC Regulations: Rules and requirements established by the Securities and Exchange Commission for securities market participants

FINRA Rules: Regulatory requirements set by the Financial Industry Regulatory Authority for broker-dealers and financial professionals

OFAC Requirements: Regulations concerning sanctions and restricted parties in financial transactions

Federal Reserve Regulations: Rules governing banking practices, monetary policy implementation, and financial institution oversight

CFPB Guidelines: Consumer protection rules and guidelines established by the Consumer Financial Protection Bureau

Blue Sky Laws: State-specific securities laws regulating the offering and sale of securities to protect investors

State Banking Regulations: State-specific rules governing banking operations and financial services within individual states

State Agency Laws: State-specific laws governing principal-agent relationships and agency obligations

Fiduciary Duty Obligations: Legal obligations requiring agents to act in the best interest of their principals with the highest standard of care

Gramm-Leach-Bliley Act: Federal law requiring financial institutions to explain their information-sharing practices and protect sensitive data

ESIGN Act: Federal law ensuring the legal validity of electronic signatures and records in commercial transactions

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Authors

Alex Denne

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