Broker Client Agreement Template for Netherlands

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Key Requirements PROMPT example:

Broker Client Agreement

"I need a Broker Client Agreement for my Dutch investment firm that primarily deals with professional clients in commodity trading, including specific clauses for derivatives trading and margin requirements, to be implemented by March 2025."

Document background

The Broker Client Agreement is a fundamental legal document used in the Netherlands to establish and govern the professional relationship between licensed financial brokers and their clients. This agreement is essential for compliance with Dutch financial supervision laws and EU regulations, particularly when providing regulated financial services such as securities trading, investment advice, or asset management. The document incorporates mandatory requirements under the Dutch Financial Supervision Act (Wft), MiFID II regulations, and other applicable Dutch and EU laws. It is designed to protect both parties by clearly defining the scope of services, responsibilities, risk disclosures, fee structures, and compliance obligations. The agreement is customizable based on client classification (retail, professional, or eligible counterparty) and the specific financial services being provided, while maintaining compliance with Dutch legal requirements.

Suggested Sections

1. Parties: Identification of the broker and client with full legal names and addresses

2. Background: Context of the agreement and brief description of the broker's services and client's intentions

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

4. Scope of Services: Detailed description of the brokerage services to be provided

5. Client Classification: Classification of the client according to MiFID II requirements (retail/professional/eligible counterparty)

6. Broker's Obligations: Detailed obligations of the broker including regulatory duties, reporting requirements, and service standards

7. Client's Obligations: Client's responsibilities including providing accurate information and maintaining eligibility for services

8. Fees and Charges: Detailed fee structure, payment terms, and any additional charges

9. Communications: Methods and requirements for communications between parties

10. Risk Disclosures: Mandatory risk warnings and disclosures required by Dutch law

11. Conflicts of Interest: Disclosure and management of potential conflicts of interest

12. Data Protection: GDPR compliance measures and data handling procedures

13. Anti-Money Laundering: AML compliance requirements and procedures

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

15. Liability and Indemnification: Limitations of liability and indemnification provisions

16. Governing Law and Jurisdiction: Specification of Dutch law as governing law and jurisdiction for disputes

Optional Sections

1. Online Trading Platform: Terms specific to electronic trading platforms, used when online trading services are provided

2. Margin Requirements: Terms for margin trading, included when margin trading services are offered

3. Portfolio Management: Additional terms for discretionary portfolio management services

4. Research Services: Terms governing the provision of research and analysis, if offered

5. Foreign Markets: Additional provisions for trading in foreign markets, if applicable

6. Professional Client Terms: Specific terms applicable to professional clients, used when client is classified as professional

7. Specific Financial Instruments: Terms specific to particular financial instruments (derivatives, options, etc.)

8. Third-Party Services: Terms governing the use of third-party services or platforms

Suggested Schedules

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

2. Schedule 2 - Service Level Agreement: Detailed service standards and performance metrics

3. Schedule 3 - Risk Disclosure Statement: Comprehensive risk disclosures for various financial instruments

4. Schedule 4 - Execution Policy: Best execution policy as required by MiFID II

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

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

7. Appendix B - Power of Attorney: Optional power of attorney form for authorized representatives

8. Appendix C - Compliance Documentation: Required regulatory and compliance documentation

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

Asset Management

Wealth Management

Securities Trading

Corporate Finance

Investment Advisory

Private Banking

Retail Banking

Insurance Broking

Commodity Trading

Pension Fund Management

Relevant Teams

Legal

Compliance

Risk Management

Client Services

Operations

Investment Management

Regulatory Affairs

Business Development

Portfolio Management

Account Management

Document Management

Quality Assurance

Relevant Roles

Compliance Officer

Legal Counsel

Investment Broker

Financial Advisor

Relationship Manager

Risk Manager

Investment Manager

Chief Legal Officer

Head of Compliance

Operations Manager

Account Manager

Client Services Director

Chief Operating Officer

Regulatory Affairs Manager

Contract Manager

Business Development Manager

Portfolio Manager

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Let's create your Broker Client Agreement

Authors

Alex Denne

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