Broker To Broker Referral Form

Broker To Broker Referral Form Template for New Zealand

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Key Requirements PROMPT example:

"I need a Broker to Broker Referral Form for my Auckland-based financial advisory firm to establish a referral arrangement with a mortgage broker, including a 25% referral fee structure and specific AML compliance requirements."

Document background

The Broker to Broker Referral Form is a essential document used in New Zealand's financial and real estate sectors when one broker wishes to formally refer clients to another broker while maintaining professional standards and regulatory compliance. This document is particularly important in contexts where brokers need to document their referral arrangements to comply with the Financial Markets Conduct Act 2013, the Real Estate Agents Act 2008, and other relevant New Zealand legislation. The form typically includes detailed provisions for referral fees, client consent requirements, confidentiality obligations, and specific compliance procedures required under New Zealand law. It serves as both a legal agreement and a compliance tool, helping brokers maintain proper documentation of their professional relationships and ensuring transparency in client referrals.

Suggested Sections

1. Parties: Identification of the referring broker and receiving broker, including their full legal names, business addresses, and license numbers

2. Background: Brief context explaining the purpose of the referral arrangement and the nature of the business relationship

3. Definitions: Key terms used in the agreement, including 'Referral', 'Referral Fee', 'Client', and 'Services'

4. Referral Terms: Details of how referrals will be made, including the process, requirements for client consent, and any territorial or service limitations

5. Compensation: Structure and terms of referral fees, payment timing, and calculation methods

6. Compliance Requirements: Obligations regarding regulatory compliance, including AML/CFT requirements and privacy laws

7. Term and Termination: Duration of the agreement and conditions for termination

8. Confidentiality: Obligations regarding client information and business confidentiality

9. Execution: Signature blocks for both parties and date of agreement

Optional Sections

1. Non-Solicitation: Optional clause preventing either broker from directly soliciting the other's clients, used when there's potential competition between brokers

2. Dispute Resolution: Optional detailed dispute resolution process, recommended for high-value or complex referral arrangements

3. Insurance Requirements: Optional section specifying required insurance coverage, useful when dealing with high-value transactions or specific industries

4. Marketing and Branding: Optional terms regarding how each broker may use the other's name and branding, relevant when public co-marketing is planned

5. Reporting Requirements: Optional detailed reporting obligations, useful for high-volume referral relationships

Suggested Schedules

1. Schedule 1 - Fee Structure: Detailed breakdown of referral fees, including any variations based on service type or transaction value

2. Schedule 2 - Referral Process: Step-by-step process for making and accepting referrals, including required forms and timeframes

3. Appendix A - Client Consent Form: Template for obtaining client consent for the referral

4. Appendix B - Broker Credentials: Copies of relevant licenses and certifications for both brokers

Authors

Alex Denne

Head of Growth (Open Source Law) @ tiktok��˰� | 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

Real Estate

Insurance Brokerage

Mortgage Brokerage

Business Brokerage

Investment Banking

Commercial Property

Wealth Management

Corporate Finance

Asset Management

Relevant Teams

Legal

Compliance

Operations

Business Development

Risk Management

Client Services

Partnerships

Finance

Corporate Development

Executive Leadership

Relevant Roles

Broker

Financial Advisor

Real Estate Agent

Mortgage Broker

Business Broker

Investment Advisor

Compliance Officer

Legal Counsel

Risk Manager

Operations Manager

Partnership Manager

Business Development Manager

Relationship Manager

Chief Executive Officer

Managing Director

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Let's create your Broker To Broker Referral Form

Authors

Alex Denne

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