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Broker Dealer Contract

Broker Dealer Contract Template for Hong Kong

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Key Requirements PROMPT example:

Broker Dealer Contract

"I need a Broker Dealer Contract for my Hong Kong-based securities firm that specializes in electronic trading services for professional investors, with specific provisions for algorithmic trading and direct market access."

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Document background
The Broker Dealer Contract serves as the foundational document for establishing and governing the relationship between licensed securities firms and their clients in Hong Kong. This agreement is essential for any entity providing regulated broker-dealer services under Hong Kong's Securities and Futures Ordinance. It encompasses comprehensive terms for securities trading, account management, regulatory compliance, and client protection measures. The document is designed to meet the stringent requirements of Hong Kong's Securities and Futures Commission (SFC) while providing clarity on the rights, obligations, and operational procedures for both the broker-dealer and their clients. It's particularly crucial for new client relationships or when updating terms to reflect regulatory changes in Hong Kong's financial markets.
Suggested Sections

1. Parties: Identification of the broker-dealer and the client, including regulatory status and licensing information

2. Background: Context of the agreement and relationship between the parties

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

4. Appointment and Scope of Services: Details of the broker-dealer's appointment and authorized services

5. Regulatory Compliance: Obligations to comply with relevant laws, regulations, and SFC requirements

6. Client Orders and Instructions: Procedures for placing and executing trading orders

7. Trading and Settlement: Terms governing trade execution, settlement, and delivery

8. Fees and Commissions: Structure and calculation of fees, commissions, and other charges

9. Client Money and Assets: Handling and segregation of client funds and securities

10. Risk Disclosure: Mandatory risk warnings and acknowledgments

11. Representations and Warranties: Standard and regulatory-specific representations by both parties

12. Termination: Circumstances and procedures for ending the relationship

13. Confidentiality: Protection of confidential information and client data

14. Liability and Indemnification: Extent of broker-dealer's liability and client indemnities

15. General Provisions: Standard contractual terms including notices, amendments, and governing law

Optional Sections

1. Electronic Trading Services: Terms for online trading platforms and electronic services, included when offering digital trading capabilities

2. Margin Trading: Terms for margin financing and related requirements, included when margin trading is offered

3. Research Services: Terms governing provision of research and analysis, included when research services are offered

4. Foreign Securities Trading: Additional terms for trading in overseas markets, included when foreign trading is offered

5. Custodial Services: Terms for safekeeping of securities, included when custody services are provided

6. Corporate Action Services: Terms for handling corporate actions, included when offering corporate action processing

7. Securities Borrowing and Lending: Terms for securities lending arrangements, included when offering SBL services

8. Derivative Trading: Specific terms for trading derivatives, included when derivatives trading is offered

Suggested Schedules

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

2. Schedule 2: Risk Disclosure Statements: Mandatory risk disclosures required by SFC regulations

3. Schedule 3: Trading Procedures: Detailed operational procedures for order placement and execution

4. Schedule 4: Electronic Trading Terms: Specific terms and conditions for electronic trading platforms

5. Schedule 5: Markets and Products: List of available trading markets and product types

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

7. Appendix B: Authorized Persons: List of authorized traders and signatories

8. Appendix C: Compliance Requirements: Detailed regulatory compliance requirements 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

Asset Management

Wealth Management

Corporate Banking

Fund Management

Private Banking

Capital Markets

Relevant Teams

Legal

Compliance

Trading Operations

Risk Management

Client Services

Business Development

Operations

Front Office

Middle Office

Back Office

Account Management

Regulatory Reporting

Documentation

Relevant Roles

Compliance Officer

Legal Counsel

Head of Trading

Risk Manager

Operations Manager

Client Relationship Manager

Chief Executive Officer

Chief Operating Officer

Head of Compliance

Trading Director

Legal Director

Account Manager

Business Development Manager

Head of Operations

Chief Risk 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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