tiktok³ÉÈ˰æ

Financial Agency Agreement Template for Canada

Create a bespoke document in minutes,  or upload and review your own.

4.6 / 5
4.8 / 5

Let's create your Financial Agency Agreement

Thank you! Your submission has been received!
Oops! Something went wrong while submitting the form.

Get your first 2 documents free

Your data doesn't train Genie's AI

You keep IP ownership of your information

Key Requirements PROMPT example:

Financial Agency Agreement

"I need a Financial Agency Agreement for appointing an independent financial advisor to sell our investment products in Ontario, with specific focus on mutual funds and retirement planning services, to be effective from March 1, 2025."

Document background
The Financial Agency Agreement is essential for financial institutions and firms operating in Canada who wish to appoint agents to act on their behalf in financial matters. This document is particularly crucial given Canada's robust regulatory framework, including federal and provincial oversight of financial services. The agreement typically covers various aspects such as service scope, compliance requirements, compensation structures, and risk management procedures. It's designed to meet the requirements of multiple regulatory bodies including securities commissions, IIROC, and anti-money laundering authorities. The document is commonly used when establishing new agency relationships, updating existing arrangements, or expanding service offerings through financial intermediaries.
Suggested Sections

1. Parties: Identification of the principal and agent, including full legal names, addresses, and registration details

2. Background: Context of the agreement, including the principal's business and need for financial agency services

3. Definitions: Key terms used throughout the agreement, including regulatory and technical terminology

4. Appointment and Scope: Formal appointment of the agent and detailed description of authorized services and activities

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

6. Agent's Duties and Responsibilities: Detailed obligations of the agent, including reporting, documentation, and service standards

7. Principal's Duties and Responsibilities: Obligations of the principal, including provision of information and support

8. Compensation: Fee structure, commission rates, payment terms, and expense reimbursement

9. Confidentiality and Data Protection: Obligations regarding client data, trade secrets, and compliance with privacy laws

10. Anti-Money Laundering Compliance: Specific obligations regarding AML/CTF requirements and procedures

11. Term and Termination: Duration of agreement, renewal terms, and termination provisions

12. Indemnification and Liability: Risk allocation between parties and liability limitations

13. Governing Law and Jurisdiction: Applicable law and jurisdiction for dispute resolution

14. General Provisions: Standard clauses including notices, amendments, and severability

Optional Sections

1. Non-Competition: Restrictions on agent's ability to compete, used when agent will have access to sensitive client information

2. Insurance Requirements: Specific insurance coverage requirements, included when higher risk activities are involved

3. Marketing and Branding: Guidelines for use of principal's branding, included when agent will represent principal publicly

4. Sub-Agency Provisions: Terms governing appointment of sub-agents, included when sub-delegation is permitted

5. Performance Metrics: Specific KPIs and performance standards, included for more complex agency relationships

6. Dispute Resolution: Detailed alternative dispute resolution procedures, included for high-value agreements

7. Force Majeure: Provisions for unforeseen circumstances, particularly relevant in volatile markets

8. Transition Services: Procedures for handover upon termination, included for complex service arrangements

Suggested Schedules

1. Schedule A - Services Description: Detailed description of authorized financial services and activities

2. Schedule B - Fee Schedule: Detailed breakdown of all fees, commissions, and payment structures

3. Schedule C - Compliance Procedures: Specific compliance requirements and procedures to be followed

4. Schedule D - Reporting Requirements: Templates and timing for required reports and documentation

5. Schedule E - Territory Definition: Geographic or market segment limitations of the agency

6. Appendix 1 - Required Licenses: List of required regulatory licenses and registrations

7. Appendix 2 - Contact Information: Key contacts and escalation procedures for both parties

8. Appendix 3 - AML Procedures: Detailed anti-money laundering procedures and requirements

Authors

Alex Denne

Head of Growth (Open Source Law) @ tiktok³ÉÈ˰æ | 3 x UCL-Certified in Contract Law & Drafting | 4+ Years Managing 1M+ Legal Documents | Serial Founder & Legal AI Author

Relevant legal definitions
















































Clauses









































Relevant Industries

Financial Services

Banking

Investment Management

Insurance

Wealth Management

Securities Trading

Asset Management

Financial Technology

Investment Banking

Corporate Finance

Relevant Teams

Legal

Compliance

Risk Management

Finance

Operations

Business Development

Regulatory Affairs

Contract Administration

Treasury

Agency Relations

Relevant Roles

Chief Financial Officer

Compliance Officer

Legal Counsel

Risk Manager

Financial Services Director

Operations Manager

Business Development Manager

Regulatory Affairs Manager

Contract Administrator

Financial Agent

Branch Manager

Relationship Manager

Treasury Manager

Financial Controller

Agency Network Manager

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

Find the exact document you need

Agreement Between Company And Security Agency

A Canadian-law governed agreement between a company and security agency establishing terms for security service provision and operational requirements.

find out more

Letting Agency Agreement

A Canadian-law governed agreement between a property owner and letting agency establishing terms for property leasing and management services.

find out more

Buyer Contract With Real Estate Agent

A Canadian-law governed agreement establishing professional representation between a property buyer and real estate agent, outlining services, compensation, and mutual obligations.

find out more

Letting Agency Contract

A Canadian-law governed agreement between property owners and letting agencies defining property management services and responsibilities under provincial real estate regulations.

find out more

Agreement Between Principal And Agent

A Canadian-law governed agreement establishing the terms and conditions under which an agent may act on behalf of a principal, including scope of authority, duties, and compensation.

find out more

Recruitment Agency Contract With Employer

A Canadian-law governed agreement between a recruitment agency and employer establishing terms for recruitment services and candidate placements.

find out more

Marketing Agency Client Contract

A Canadian-law governed agreement between a marketing agency and client establishing service terms, deliverables, and mutual obligations for marketing activities.

find out more

Agreement Between Seller And Agent

A Canadian-law governed agreement establishing the terms and conditions of an agency relationship between a seller and their appointed agent.

find out more

Contract For Digital Marketing Services

Canadian-compliant contract template for digital marketing services, covering comprehensive terms between marketing agencies and clients.

find out more

Sole Selling Agency Agreement

A Canadian-law governed agreement establishing an exclusive relationship between a principal and their sole selling agent, defining territorial rights and commercial terms.

find out more

Tender Agency Agreement

A Canadian legal agreement appointing an agent to manage tender processes and submissions on behalf of a principal company, subject to federal and provincial regulations.

find out more

Limited Agency Agreement

A Canadian legal document establishing a restricted agency relationship between principal and agent, defining specific powers and limitations of the agent's authority.

find out more

Home Care Agency Service Agreement

A Canadian-law governed agreement between a home care agency and client establishing terms for professional home care services, including service scope, obligations, and compliance requirements.

find out more

Contract For Agency Agreement

A Canadian-compliant agreement establishing and governing the relationship between a principal and their appointed agent, defining authority scope and mutual obligations.

find out more

Staffing Agency Contract With Client

A Canadian-law governed agreement between a staffing agency and client company establishing terms for temporary worker provision and management.

find out more

NDA For Digital Marketing Agency

Canadian-compliant NDA for digital marketing agency relationships, protecting marketing strategies, customer data, and digital assets.

find out more

Healthcare Staffing Agency Contract

A Canadian-law governed agreement between healthcare staffing agencies and facilities for the provision of healthcare professionals, ensuring regulatory compliance and professional standards.

find out more

Buyer Tenant Agency Contract

A Canadian legal agreement establishing representation between a real estate agent and a buyer/tenant client, outlining services, obligations, and terms of the agency relationship.

find out more

Agent Client Agreement

A Canadian legal agreement establishing the terms and conditions of an agent's authority to represent and act on behalf of a client, ensuring compliance with federal and provincial regulations.

find out more

Agency Client Contract

A Canadian-law governed contract establishing the terms and conditions between an agency and its client, defining services, responsibilities, and commercial terms.

find out more

Advertising Agency Contract With Client

A Canadian-law governed agreement between an advertising agency and client establishing service terms, creative rights, and deliverables for advertising campaigns.

find out more

Exclusive Agency Listing Contract

A Canadian real estate contract establishing exclusive rights for a brokerage to market and sell a property on behalf of the owner.

find out more

Agreement Between Manufacturer And Commission Agent

A Canadian-law governed agreement establishing terms between a manufacturer and commission agent for product representation and sales.

find out more

Travel Agent Service Fee Agreement

A Canadian-law governed agreement establishing terms and fee structures for travel agent services, ensuring compliance with national and provincial travel industry regulations.

find out more

Buyer Broker Agreement Form

A Canadian legal agreement establishing representation terms between a property buyer and real estate brokerage, outlining services, compensation, and mutual obligations.

find out more

Buyer Agency Agreement Form

A Canadian legal agreement establishing a professional relationship between a property buyer and their representing real estate agent/brokerage, outlining mutual obligations and terms of service.

find out more

Buyer Broker Commission Agreement

A Canadian real estate agreement establishing terms and commission structure between a property buyer and their broker for property acquisition services.

find out more

Booking Agent Agreement Non Exclusive

A Canadian-law agreement establishing a non-exclusive relationship between an artist and booking agent, defining commission structures and booking terms.

find out more

Booking Agent Agreement

A Canadian-law governed agreement establishing the terms between a booking agent and their client for securing performances and managing bookings.

find out more

Buyer Agent Exclusive Agreement

A Canadian legal agreement establishing an exclusive representation relationship between a property buyer and their real estate agent/brokerage, outlining services, obligations, and compensation terms.

find out more

Non Exclusive Agency Agreement

Canadian-law governed agreement establishing a non-exclusive agency relationship between principal and agent, defining representation terms and compliance requirements.

find out more

Seller Agency Agreement

A Canadian legal agreement establishing the terms and conditions under which a real estate agent/brokerage represents a property seller.

find out more

Real Estate Agent Referral Agreement

A Canadian-compliant agreement establishing terms and conditions for client referrals between real estate agents and/or brokerages, including referral fee structures and professional obligations.

find out more

Broker And Agent Agreement

A Canadian jurisdiction agreement establishing the professional relationship between brokers and their agents, including operational terms, compensation, and compliance requirements.

find out more

Broker Agent Commission Agreement

A Canadian-compliant agreement establishing commission terms and professional relationship between a broker and agent in real estate transactions.

find out more

Agent To Agent Commission Agreement

A Canadian-law governed agreement establishing commission sharing terms between two independent agents or agencies.

find out more

Insurance Agent Agreement

A Canadian-compliant agreement establishing the terms and conditions between an insurance company and its appointed agent for the distribution of insurance products.

find out more

Tenant Agency Agreement

A Canadian-compliant agreement establishing terms and conditions for real estate agent representation of a tenant in property search and lease acquisition.

find out more

Temporary Service Agreement

Canadian-law governed agreement establishing temporary service arrangements between service providers and clients, defining service scope, terms, and compliance requirements.

find out more

Temporary Labor Agreement

A Canadian-compliant agreement establishing terms and conditions for temporary employment, including duration, duties, and compensation.

find out more

Temp To Hire Agreement

A Canadian-law governed agreement establishing terms for temporary employment with potential conversion to permanent status, defining the relationship between staffing agency, client company, and employee.

find out more

Talent Agency Agreement

A Canadian-law governed agreement establishing the professional relationship between a talent agency and artist, defining representation terms and mutual obligations.

find out more

Sub Agency Agreement

A Canadian-compliant agreement establishing terms between a Principal Agent and Sub-Agent for delegated business activities.

find out more

Staffing Agency Direct Hire Agreement

A Canadian-law governed agreement between a staffing agency and client company for permanent employee placement services.

find out more

Sports Agent Representation Agreement

A Canadian-law governed agreement establishing the terms and conditions of sports agent representation for athletes, including services, compensation, and regulatory compliance.

find out more

Sponsorship Agency Agreement

A Canadian-law governed agreement between a sponsor and agency for managing sponsorship opportunities, including service terms, rights, and obligations.

find out more

Sourcing Agent Agreement

A Canadian-law governed agreement establishing the terms and conditions between a company and its sourcing agent for supplier identification and management.

find out more

Social Media Agency Contract

Canadian-law governed agreement between a social media agency and client defining social media management services, responsibilities, and compliance requirements.

find out more

Service Bureau Agreement

A Canadian-law governed agreement establishing terms for service bureau operations, including processing services, data handling, and operational requirements.

find out more

Service Agency Agreement

A Canadian-law governed agreement establishing and regulating a principal-agent relationship for the provision of specified services or business activities.

find out more

Sales Agent Commission Agreement

A Canadian-law governed agreement establishing terms, commission structures, and obligations between a principal company and sales agent.

find out more

Residential Sales Agency Agreement

A Canadian-compliant agreement between a property owner and real estate brokerage establishing terms for the professional marketing and sale of residential property.

find out more

Rental Agent Contract

A Canadian-law governed agreement establishing the professional relationship between a brokerage/property management company and a rental agent, including terms of engagement and compliance requirements.

find out more

Rental Agency Agreement

A Canadian-law governed agreement between property owners and rental agencies establishing terms for professional property management and leasing services.

find out more

Real Estate Agent Exclusive Listing Agreement

A Canadian legal agreement granting exclusive rights to a real estate agent/brokerage to market and sell a property, subject to provincial regulations.

find out more

Real Estate Agent Buyer Agreement

A Canadian real estate agreement establishing the terms and conditions under which a real estate agent represents a buyer in property transactions.

find out more

Qualifying Agent Agreement

A Canadian legal agreement establishing the relationship between a real estate brokerage and its qualifying agent, outlining duties, compensation, and regulatory compliance requirements.

find out more

Purchase Agency Agreement

A Canadian legal agreement establishing terms and conditions for a purchase agent to procure goods or services on behalf of a principal company.

find out more

Placement Services Agreement

A Canadian-law governed agreement between a placement agency and client company establishing terms for recruitment and talent acquisition services.

find out more

Owner Agent Agreement

A Canadian-law governed agreement establishing the relationship and terms between a property owner and their appointed agent for property-related matters.

find out more

One Time Agency Agreement

A Canadian-law governed agreement establishing a temporary principal-agent relationship for a specific transaction or limited time period.

find out more

Non Exclusive Buyer Agency Agreement

A Canadian real estate contract establishing a non-exclusive relationship between a buyer and real estate agent, allowing the buyer to work with multiple agents while protecting the agent's compensation rights.

find out more

Model Mother Agency Contract

Canadian-law governed agreement establishing the exclusive representation relationship between a model and their mother agency, defining rights, obligations, and commission terms.

find out more

Model Agency Contract

A Canadian-law governed agreement establishing the professional relationship between a modeling agency and model, defining representation terms, obligations, and compensation structures.

find out more

Marketing Agency Agreement

A Canadian-law governed agreement between a business and a marketing agency defining marketing services, deliverables, and mutual obligations.

find out more

Manufacturer Agent Agreement

A Canadian legal agreement establishing the terms and conditions between a manufacturer and their sales agent, including territory rights, commissions, and performance requirements.

find out more

Broker Agent Contract

A Canadian-law governed agreement establishing the terms and conditions between a principal company and a broker/agent, defining their rights, obligations, and commercial relationship.

find out more

Agent Appointment Agreement

A Canadian law-governed agreement establishing and regulating the relationship between a principal and their appointed commercial agent, defining authority, duties, and compensation terms.

find out more

Agent And Landlord Agreement

A Canadian-law governed agreement establishing the terms and conditions between a property owner and management agent for professional property management services.

find out more

Agency To Agency Agreement

A Canadian-law governed agreement establishing collaboration terms and mutual obligations between two professional agencies.

find out more

Agency Referral Agreement

A Canadian-law governed agreement establishing terms for business referral arrangements between a principal and agent, including compensation and compliance requirements.

find out more

Agency Partnership Agreement

A Canadian-law governed agreement establishing terms and conditions for an agency partnership relationship between a principal and their designated agent or agents.

find out more

Agency Of Record Agreement

A Canadian legal agreement establishing the formal relationship between a company and its designated marketing/advertising agency, outlining services, responsibilities, and terms under Canadian law.

find out more

Agency Fee Agreement

A Canadian-law governed agreement establishing the terms, conditions, and fee arrangements between a principal and their authorized agent.

find out more

Leasing Agent Contract

A Canadian-compliant agreement establishing the relationship between a real estate brokerage and leasing agent, outlining duties, compensation, and compliance requirements.

find out more

Leasing Agency Agreement

A Canadian-law governed agreement establishing the terms and conditions between a property owner and leasing agent for property leasing services.

find out more

Advertising Agency Retainer Agreement

A Canadian-law governed agreement establishing a retainer arrangement between an advertising agency and client for ongoing advertising and marketing services.

find out more

Advertising Agency Contract

A Canadian-law governed agreement between an advertising agency and client, defining advertising services, rights, and obligations while ensuring compliance with federal and provincial regulations.

find out more

Joint Agency Agreement

A Canadian-law governed agreement establishing a collaborative relationship between multiple agents representing one or more principals, defining shared responsibilities and operational procedures.

find out more

Introduction Agency Agreement

A Canadian-law governed agreement between an introduction agency and client, establishing service terms, privacy obligations, and mutual responsibilities for matchmaking services.

find out more

Ad Agency Agreement

A Canadian-law governed agreement between an advertising agency and client defining service scope, responsibilities, and terms for advertising services delivery.

find out more

International Commercial Agency Contract

A Canadian law-governed agreement establishing the terms and conditions between a principal company and an international commercial agent for market representation and sales activities.

find out more

Creative Agency Contract

A Canadian-law governed agreement between a creative agency and client establishing terms for creative services delivery and intellectual property rights.

find out more

Foreign Agency Agreement

A Canadian-law governed agreement establishing and regulating the relationship between a principal company and its foreign agent, defining representation terms in specified territories.

find out more

Fiscal Agent Agreement

A Canadian-law governed agreement establishing the relationship between a securities issuer and their fiscal agent, outlining responsibilities for financial transaction management and securities processing.

find out more

Financial Agency Agreement

A Canadian-law governed agreement establishing the terms and conditions between a financial institution and its appointed financial agent, including regulatory compliance and operational requirements.

find out more

Exclusive Real Estate Agent Contract

A Canadian-law governed agreement establishing exclusive rights for a real estate agent to market and sell/lease a property on behalf of the owner.

find out more

Commission Distribution Agreement

A Canadian-law governed agreement establishing a commission-based distribution relationship, defining territory rights, compensation structure, and operational terms between principal and distributor.

find out more

Commercial Agency Agreement

A Canadian-law governed agreement establishing a commercial agency relationship between a principal and agent, defining rights, obligations, and commercial terms.

find out more

Exclusive Commission Agreement

A Canadian-law governed agreement establishing an exclusive sales relationship between a principal and commission agent, defining territory rights and commission terms.

find out more

Collection Agency Agreement

A Canadian-law governed agreement establishing terms for debt collection services between a creditor and collection agency, ensuring compliance with federal and provincial regulations.

find out more

Sole Agency Agreement

A Canadian-law governed agreement establishing exclusive representation rights between a principal and agent, defining terms, scope, and obligations of the sole agency relationship.

find out more

Download our whitepaper on the future of AI in Legal

By providing your email address you are consenting to our Privacy Notice.
Thank you for downloading our whitepaper. This should arrive in your inbox shortly. In the meantime, why not jump straight to a section that interests you here: /our-research
Oops! Something went wrong while submitting the form.

³Ò±ð²Ô¾±±ð’s Security Promise

Genie is the safest place to draft. Here’s how we prioritise your privacy and security.

Your documents are private:

We do not train on your data; ³Ò±ð²Ô¾±±ð’s AI improves independently

All data stored on Genie is private to your organisation

Your documents are protected:

Your documents are protected by ultra-secure 256-bit encryption

Our bank-grade security infrastructure undergoes regular external audits

We are ISO27001 certified, so your data is secure

Organizational security

You retain IP ownership of your documents

You have full control over your data and who gets to see it

Innovation in privacy:

Genie partnered with the Computational Privacy Department at Imperial College London

Together, we ran a £1 million research project on privacy and anonymity in legal contracts

Want to know more?

Visit our for more details and real-time security updates.