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Broker Fee Contract

Broker Fee Contract Template for Australia

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Key Requirements PROMPT example:

Broker Fee Contract

"I need a Broker Fee Contract for my financial advisory firm based in Sydney, covering both retail and institutional clients, with a hybrid fee structure combining fixed fees and performance-based commissions, to be implemented from March 2025."

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Document background
The Broker Fee Contract serves as a foundational document for establishing professional relationships between brokers and their clients in Australia. This agreement is essential for compliance with Australian financial services regulations and provides a clear framework for fee arrangements, service delivery, and mutual obligations. The contract is designed to meet requirements under the Corporations Act 2001, ASIC guidelines, and other relevant Australian legislation. It is particularly important for financial services providers, insurance brokers, and investment advisors who need to document their fee structures and service arrangements. The Broker Fee Contract typically includes detailed fee schedules, service level agreements, and compliance requirements, making it suitable for both retail and wholesale client relationships while ensuring appropriate consumer protections and regulatory compliance.
Suggested Sections

1. Parties: Identification of the broker and client, including ABN/ACN and registered addresses

2. Background: Context of the agreement, including broker's licensing status and general nature of services

3. Definitions: Definitions of key terms used throughout the agreement

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

5. Broker's Obligations: Key responsibilities and duties of the broker, including regulatory compliance obligations

6. Client's Obligations: Client's responsibilities, including providing accurate information and documentation

7. Fees and Payment Terms: Detailed fee structure, payment schedule, and invoicing arrangements

8. Representations and Warranties: Key promises and statements made by both parties

9. Confidentiality: Obligations regarding confidential information handling

10. Privacy: Compliance with Privacy Act and handling of personal information

11. Term and Termination: Duration of agreement and circumstances for termination

12. Liability and Indemnity: Limitation of liability and indemnification provisions

13. General Provisions: Standard contract clauses including governing law, notices, and assignment

Optional Sections

1. Success Fee Provisions: Additional terms for performance-based fees, used when success fees are part of the compensation structure

2. Multi-currency Provisions: Specific terms for handling multiple currencies, used for international transactions

3. Sub-broker Arrangements: Terms governing the use of sub-brokers, included when sub-brokers may be engaged

4. Electronic Trading Platform: Terms specific to electronic trading platforms, included when platform access is provided

5. Research Services: Terms governing provision of research services, included when research is part of the service offering

6. Dispute Resolution: Detailed dispute resolution procedures, recommended for high-value contracts

Suggested Schedules

1. Schedule 1 - Fee Schedule: Detailed breakdown of all fees, charges, and commission structures

2. Schedule 2 - Service Level Agreement: Specific performance metrics and service standards

3. Schedule 3 - Authorized Representatives: List of authorized personnel who can act on behalf of each party

4. Appendix A - Compliance Requirements: Detailed regulatory compliance obligations and procedures

5. Appendix B - Required Documentation: List of required documentation and forms

6. Appendix C - Risk Disclosure Statement: Standard risk warnings and disclosures required by regulations

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













































Clauses








































Relevant Industries

Financial Services

Investment Banking

Insurance

Real Estate

Mortgage Lending

Commodities Trading

Securities Trading

Wealth Management

Corporate Finance

Private Banking

Relevant Teams

Legal

Compliance

Finance

Operations

Risk Management

Business Development

Client Services

Regulatory Affairs

Contract Administration

Account Management

Relevant Roles

Compliance Officer

Legal Counsel

Broker

Financial Advisor

Relationship Manager

Risk Manager

Operations Manager

Chief Financial Officer

Business Development Manager

Contract Administrator

Regulatory Affairs Manager

Account Executive

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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