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Broker Dealer Selling Agreement

Broker Dealer Selling Agreement Generator for United Arab Emirates

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Key Requirements PROMPT example:

Broker Dealer Selling Agreement

"I need a Broker Dealer Selling Agreement for our UAE-based investment firm to distribute conventional financial products to institutional clients, with specific provisions for electronic trading platforms and cross-border transactions with GCC countries."

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Document background
The Broker Dealer Selling Agreement is a critical document used in the UAE financial services sector to establish and govern the relationship between product issuers/providers and broker-dealers who distribute their financial products. This agreement is essential when a financial institution wants to engage a broker-dealer to sell their investment products, securities, or other financial instruments in the UAE market. The document must comply with UAE federal laws and SCA regulations, incorporating specific requirements for financial services delivery, client protection, and market conduct. It typically includes detailed provisions on licensing requirements, operational procedures, compliance obligations, risk management, and compensation structures. The agreement is particularly important in the context of UAE's developing financial markets and its increasing role as a regional financial hub, requiring careful attention to both local regulatory requirements and international best practices.
Suggested Sections

1. Parties: Identification of the contracting parties - typically the broker-dealer and the product issuer/provider

2. Background: Context of the agreement, including relevant licenses and authorizations held by parties

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

4. Appointment and Scope: Terms of broker-dealer appointment and scope of authorized activities

5. Regulatory Compliance: Obligations to comply with UAE laws, SCA regulations, and other applicable requirements

6. Representations and Warranties: Declarations by both parties regarding their authority, licenses, and capacity to perform

7. Operating Procedures: Day-to-day operational procedures, trading protocols, and execution requirements

8. Compensation: Commission structures, fees, and payment terms

9. Compliance and AML Requirements: Specific compliance obligations, including KYC and AML procedures

10. Record Keeping: Requirements for maintaining records as per UAE regulations

11. Confidentiality: Protection of confidential information and trade secrets

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

13. Indemnification: Mutual indemnification obligations and liability provisions

14. Governing Law and Jurisdiction: Specification of UAE law and jurisdiction for dispute resolution

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

Optional Sections

1. Islamic Finance Compliance: Required when dealing with Shariah-compliant products or Islamic financial institutions

2. Retail Client Provisions: Additional protections and requirements when dealing with retail clients

3. Electronic Trading Provisions: Specific terms for electronic trading platforms and systems

4. Research Services: Terms governing the provision of research services if included

5. Cross-Border Activities: Additional provisions for cross-border trading or international clients

6. Force Majeure: Provisions for extraordinary events affecting performance

7. Data Protection: Specific provisions for handling personal data under UAE law

8. Marketing and Promotion: Terms governing marketing activities and use of promotional materials

Suggested Schedules

1. Schedule 1 - Products and Services: Detailed list of authorized products and services

2. Schedule 2 - Commission Schedule: Detailed breakdown of commission rates and fee structures

3. Schedule 3 - Operating Procedures: Detailed operational procedures and protocols

4. Schedule 4 - Compliance Requirements: Specific compliance procedures and requirements

5. Schedule 5 - Required Documentation: List of required documentation for account opening and transactions

6. Appendix A - Form of Client Agreement: Standard form of client agreement to be used

7. Appendix B - Reporting Templates: Standard reporting formats and templates

8. Appendix C - Contact Details: Key contact information for both parties

9. Appendix D - Service Level Agreement: Detailed service levels and performance metrics

Authors

Alex Denne

Head of Growth (Open Source Law) @ ¶¶Òõ¶ÌÊÓƵ | 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


































































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Relevant Industries

Financial Services

Investment Banking

Securities Trading

Asset Management

Wealth Management

Investment Management

Capital Markets

Islamic Finance

Financial Technology

Professional Services

Relevant Teams

Legal

Compliance

Operations

Sales

Risk Management

Business Development

Product Development

Trading

Client Relations

Investment

Distribution

Relevant Roles

Chief Executive Officer

Chief Compliance Officer

Head of Legal

Chief Operating Officer

Head of Sales

Compliance Manager

Legal Counsel

Risk Manager

Head of Distribution

Business Development Manager

Product Manager

Operations Manager

Relationship Manager

Investment Officer

Trading 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

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