Broker To Broker Agreement Template for Netherlands

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Key Requirements PROMPT example:

Broker To Broker Agreement

"Need a Broker to Broker Agreement under Dutch law for collaboration between our Amsterdam-based securities brokerage firm and a German financial broker, with specific focus on cross-border trading compliance and commission sharing for institutional clients starting March 2025."

Document background

The Broker to Broker Agreement is essential for establishing formal collaboration between licensed brokers operating under Dutch law. This document is typically used when two brokerage firms wish to establish a professional relationship for sharing clients, splitting commissions, or collaborating on transactions. It incorporates requirements from the Dutch Financial Supervision Act (Wft), Dutch Civil Code, and relevant EU regulations, making it suitable for both domestic and cross-border arrangements. The agreement covers crucial aspects such as regulatory compliance, commission structures, client handling procedures, confidentiality obligations, and risk allocation. It's particularly important in regulated financial markets where clear documentation of inter-broker relationships is required for compliance purposes.

Suggested Sections

1. Parties: Identification of the broker entities entering into the agreement, including their registration details and regulatory licenses

2. Background: Context of the agreement and brief description of the parties' business activities and intention to collaborate

3. Definitions: Detailed definitions of terms used throughout the agreement, including specific industry terminology

4. Scope of Services: Detailed description of the brokerage services to be provided and the nature of the collaboration between the parties

5. Regulatory Compliance: Obligations regarding compliance with applicable laws, regulations, and licensing requirements

6. Commission Structure: Terms regarding commission sharing, calculation methods, and payment procedures

7. Client Allocation: Rules and procedures for allocating and handling client relationships

8. Confidentiality: Provisions regarding the protection and handling of confidential information

9. Data Protection: GDPR compliance and data handling procedures

10. Anti-Money Laundering: Procedures and obligations for AML compliance

11. Representations and Warranties: Key statements and guarantees made by each party

12. Liability and Indemnification: Allocation of risks and responsibilities between the parties

13. Term and Termination: Duration of the agreement and circumstances for termination

14. Dispute Resolution: Procedures for handling disputes and applicable jurisdiction

15. General Provisions: Standard legal provisions including notices, amendments, and severability

Optional Sections

1. Specific Transaction Types: Detailed provisions for specific types of transactions (include when brokers specialize in particular financial instruments or markets)

2. Cross-Border Operations: Additional provisions for international operations (include when parties operate across multiple jurisdictions)

3. Insurance Requirements: Specific insurance obligations (include when dealing with high-value transactions or specific regulatory requirements)

4. Marketing and Branding: Rules for use of each other's brands and marketing materials (include when joint marketing is contemplated)

5. Training and Support: Provisions for inter-broker training and support (include when knowledge sharing is part of the collaboration)

6. Electronic Trading Systems: Provisions regarding the use and integration of trading platforms (include when electronic trading systems are used)

7. Client Transition: Procedures for transitioning clients between brokers (include when client portability is anticipated)

Suggested Schedules

1. Schedule 1 - Commission Rates: Detailed commission structures and calculations for different types of transactions

2. Schedule 2 - Operating Procedures: Detailed procedures for day-to-day operations and collaboration

3. Schedule 3 - Compliance Procedures: Specific compliance requirements and procedures

4. Schedule 4 - Required Documentation: Lists of required documentation for different types of transactions

5. Schedule 5 - Contact Details: Key contacts and escalation procedures for both parties

6. Appendix A - Service Level Agreement: Detailed service levels and performance metrics

7. Appendix B - Data Processing Agreement: Detailed GDPR-compliant data processing terms

8. Appendix C - Technical Requirements: Technical specifications for system integration and communication

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

Insurance

Real Estate

Commodities Trading

Securities Trading

Forex Trading

Asset Management

Wealth Management

Commercial Banking

Relevant Teams

Legal

Compliance

Risk Management

Operations

Business Development

Regulatory Affairs

Partnerships

Contract Management

Trading

Client Services

Relevant Roles

Chief Executive Officer

Chief Compliance Officer

Head of Brokerage

Legal Counsel

Compliance Manager

Risk Manager

Business Development Director

Operations Manager

Senior Broker

Partnership Manager

Regulatory Affairs Director

Contract Manager

Head of Legal

Chief Risk Officer

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Let's create your Broker To Broker Agreement

Authors

Alex Denne

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