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Broker Representation Agreement

Broker Representation Agreement Template for Australia

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Key Requirements PROMPT example:

Broker Representation Agreement

"I need a Broker Representation Agreement for my financial advisory firm that primarily deals with retail clients in Australia, covering basic investment products and financial planning services, with standard commission structures and risk disclosures."

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Document background
The Broker Representation Agreement serves as the foundational document for establishing and governing the professional relationship between licensed financial brokers and their clients in Australia. This agreement is essential for compliance with the Australian financial services regulatory framework, particularly the Corporations Act 2001 and ASIC requirements. It is used when a client engages a broker's services for financial transactions, investment management, or advisory services. The document encompasses critical elements including service scope, fee structures, regulatory compliance obligations, risk disclosures, and dispute resolution procedures. It provides protection for both parties while ensuring transparency and adherence to Australian financial services laws and regulations.
Suggested Sections

1. Parties: Identification of the broker and client, including ABN/ACN and licensing details

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

3. Definitions: Key terms used throughout the agreement

4. Appointment and Scope: Formal appointment of broker and detailed scope of services

5. Broker's Obligations: Detailed responsibilities including regulatory compliance, communication, and duty of care

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

7. Fees and Commissions: Detailed fee structure, payment terms, and commission arrangements

8. Confidentiality: Obligations regarding confidential information and privacy

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

10. Liability and Indemnification: Limitations of liability and indemnification provisions

11. Regulatory Compliance: Compliance with relevant laws and regulations

12. Dispute Resolution: Process for handling disputes between parties

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

Optional Sections

1. Electronic Communications: Terms for electronic service delivery and communications, needed when services are primarily delivered online

2. Third Party Authorization: Authorization for broker to deal with third parties, included when broker needs to interact with other service providers

3. International Transactions: Additional terms for international trading or cross-border services, needed for clients requiring international services

4. Specific Product Terms: Terms specific to particular financial products, included when broker offers specialized product services

5. Research and Analysis: Terms regarding provision of research services, included when broker provides market research

6. Sub-broker Arrangements: Terms for involving other brokers, needed when sub-brokers may be used

7. Performance Reporting: Specific reporting obligations, included when detailed performance reporting is required

Suggested Schedules

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

2. Schedule 2 - Services Description: Comprehensive list and description of services provided

3. Schedule 3 - Authorized Representatives: List of authorized representatives who may act on behalf of either party

4. Schedule 4 - Risk Disclosure: Detailed risk warnings and disclosures

5. Appendix A - Client Information Form: Standard form for collecting client details and preferences

6. Appendix B - Compliance Documentation: Required regulatory documentation and declarations

7. Appendix C - Trading Parameters: Specific trading limits, preferences, and restrictions

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

Wealth Management

Securities Trading

Insurance Broking

Corporate Finance

Commodity Trading

Foreign Exchange

Private Banking

Asset Management

Relevant Teams

Legal

Compliance

Risk Management

Operations

Client Services

Trading

Wealth Management

Portfolio Management

Business Development

Finance

Relevant Roles

Financial Broker

Compliance Officer

Legal Counsel

Risk Manager

Financial Advisor

Relationship Manager

Investment Manager

Operations Manager

Client Services Manager

Chief Financial Officer

Head of Trading

Wealth Manager

Portfolio 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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