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Broker Client Agreement

Broker Client Agreement Template for United Arab Emirates

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Key Requirements PROMPT example:

Broker Client Agreement

"I need a Broker Client Agreement for a UAE-licensed securities broker offering online trading services to retail clients, including international market access and Islamic trading accounts, to be implemented by March 2025."

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Document background
The Broker Client Agreement is a mandatory document required by the UAE Securities and Commodities Authority (SCA) for establishing a formal relationship between licensed brokers and their clients. This agreement is essential for any broker providing trading services in UAE financial markets, whether for retail, professional, or institutional clients. It must comply with UAE Federal Law No. 18 of 1993 (Commercial Code) and current SCA regulations, particularly Decision No. (1/R) of 2022 concerning broker activities. The agreement covers crucial aspects such as service scope, client classification, fee structures, risk disclosures, and regulatory compliance requirements. It may also include provisions for electronic trading, Shariah-compliance, and international market access depending on the services offered.
Suggested Sections

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

2. Background: Context of the agreement and broker's regulatory status

3. Definitions: Key terms used throughout the agreement

4. Scope of Services: Detailed description of brokerage services provided

5. Client Classification: Classification of client as retail/professional/institutional as per SCA regulations

6. Client Representations and Warranties: Client's confirmations regarding their status, capacity, and understanding

7. Broker Obligations: Broker's duties, responsibilities, and standard of service

8. Client Instructions: Process for giving and accepting trading instructions

9. Fees and Commissions: Detailed fee structure and payment terms

10. Client Money: Handling and protection of client funds

11. Risk Disclosures: Mandatory risk warnings and disclosures

12. Confidentiality: Protection and handling of confidential information

13. Conflicts of Interest: Management and disclosure of potential conflicts

14. Term and Termination: Duration and termination provisions

15. Governing Law and Jurisdiction: UAE law governance and dispute resolution mechanisms

Optional Sections

1. Electronic Trading Services: Terms for online trading platforms - include if electronic trading is offered

2. Shariah Compliance: Islamic finance provisions - include for Shariah-compliant services

3. Joint Accounts: Additional terms for joint account holders - include if joint accounts are offered

4. Margin Trading: Terms for margin trading services - include if margin trading is offered

5. International Trading: Provisions for international market access - include if international trading is offered

6. Research Services: Terms for research and analysis services - include if research is provided

7. Portfolio Management: Terms for discretionary management - include if portfolio management is offered

Suggested Schedules

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

2. Schedule 2 - Trading Requirements: Specific trading parameters, limits, and requirements

3. Schedule 3 - Risk Disclosure Statement: Comprehensive risk warnings and scenarios

4. Schedule 4 - Electronic Trading Terms: Detailed terms for electronic trading platform usage

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

6. Appendix B - Power of Attorney: Standard POA format if required for trading

7. Appendix C - KYC Documentation: List of required KYC documents and procedures

Authors

Alex Denne

Head of Growth (Open Source Law) @ tiktok³ÉÈË°æ | 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

Securities Trading

Commodities Trading

Wealth Management

Asset Management

Islamic Finance

Professional Services

Legal Services

Regulatory Compliance

Relevant Teams

Legal

Compliance

Trading

Client Relations

Risk Management

Operations

Finance

Business Development

Internal Audit

KYC & Onboarding

Regulatory Affairs

Relevant Roles

Compliance Officer

Legal Counsel

Broker

Trading Manager

Client Relationship Manager

Risk Manager

Operations Manager

Chief Executive Officer

Finance Director

KYC Officer

Account Manager

Business Development Manager

Internal Auditor

Head of Trading

Regulatory Affairs Officer

Industries








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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