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Broker Fee Agreement

Broker Fee Agreement Template for Hong Kong

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Key Requirements PROMPT example:

Broker Fee Agreement

"I need a Broker Fee Agreement for a Hong Kong-based securities firm providing electronic trading services to professional investors, with a tiered commission structure based on trading volume and special provisions for algorithmic trading services."

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Document background
The Broker Fee Agreement is a crucial document used in Hong Kong's financial services industry to formalize the relationship between licensed brokers and their clients. It outlines the commercial terms for brokerage services, including commission structures, trading arrangements, and service levels, while ensuring compliance with Hong Kong's regulatory framework, particularly the Securities and Futures Ordinance and SFC requirements. This agreement is essential for any broker-client relationship in Hong Kong, whether for individual or institutional clients, and typically includes detailed fee schedules, service specifications, and risk disclosures mandated by local regulations. The document serves as both a commercial and compliance tool, protecting the interests of all parties while maintaining regulatory alignment.
Suggested Sections

1. Parties: Identification of the broker and client, including licensing details of the broker and registration information

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

3. Definitions: Key terms used throughout the agreement

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

5. Broker's Fees and Compensation: Structure and calculation of fees, commissions, and other charges

6. Payment Terms: Timing and method of payment, including invoicing procedures

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

8. Client's Obligations: Client's responsibilities, including information provision and cooperation

9. Representations and Warranties: Standard declarations by both parties regarding capacity and authority

10. Confidentiality: Protection of confidential information and trade secrets

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

12. Governing Law and Jurisdiction: Specification of Hong Kong law and jurisdiction

13. General Provisions: Standard boilerplate clauses including notices, amendments, and assignment

Optional Sections

1. Anti-Money Laundering Compliance: Additional AML obligations when dealing with high-risk clients or transactions

2. Electronic Trading Services: Include when offering online trading platforms or electronic services

3. Multiple Currency Transactions: Include when services involve multiple currency trading

4. Risk Disclosure: Extended risk warnings for complex financial products

5. Intellectual Property Rights: Include when proprietary trading systems or software are involved

6. Force Majeure: Include for protection against unforeseen circumstances affecting market operations

7. Third Party Rights: Include when third parties might have enforceable rights under the agreement

Suggested Schedules

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

2. Schedule 2: Services Description: Comprehensive list of available brokerage services and products

3. Schedule 3: Account Opening Forms: Standard forms required for account opening and KYC

4. Schedule 4: Risk Disclosure Statements: Mandatory risk disclosures required by SFC

5. Schedule 5: Trading Rules and Procedures: Detailed operational procedures and trading rules

6. Appendix A: Contact Details: Key contacts and escalation procedures

7. Appendix B: Required Documentation: List of documents required for account maintenance and updates

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 Finance

Private Banking

Investment Advisory

Capital Markets

Relevant Teams

Legal

Compliance

Operations

Trading

Risk Management

Client Services

Business Development

Finance

Account Management

Regulatory Affairs

Relevant Roles

Compliance Officer

Legal Counsel

Broker-Dealer

Relationship Manager

Investment Advisor

Chief Financial Officer

Risk Manager

Operations Manager

Trading Manager

Account Manager

Business Development Manager

Compliance Manager

Legal Director

Head of Trading

Chief Operating 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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