The Stock Broker Agreement is a fundamental document used in the Australian financial services industry to formalize the relationship between licensed stockbrokers and their clients. This agreement is essential for compliance with Australian financial services regulations, particularly the Corporations Act 2001 and ASIC Market Integrity Rules. It is required whenever a stockbroker provides securities trading services to clients, whether retail or institutional. The agreement comprehensively covers trading terms, fee structures, risk disclosures, and compliance obligations. It includes specific provisions required by Australian law regarding client money handling, best execution obligations, and market conduct rules. The document serves as both a regulatory requirement and a commercial framework for the provision of stockbroking services in the Australian market.
Your data doesn't train Genie's AI
You keep IP ownership of your information
Thank you! Your submission has been received!
Oops! Something went wrong while submitting the form.
OR
Let Ƶ's market-leading legal AI identify missing terms, unusual language, compliance issues and more - in just seconds.
1. Parties: Identification of the stockbroker and client, including ABN/ACN and licensing details
2. Background: Context of the agreement and brief description of the services to be provided
3. Definitions and Interpretation: Key terms used throughout the agreement and rules of interpretation
4. Appointment and Scope of Services: Formal appointment of the broker and detailed description of services provided
5. Regulatory Compliance: Compliance with relevant laws, ASIC requirements, and market rules
6. Client Acknowledgments: Client's confirmations regarding risks, capacity, and understanding of obligations
7. Trading Instructions: Process for giving and accepting trading instructions, including electronic orders
8. Broker's Rights and Obligations: Detailed responsibilities and rights of the broker
9. Client's Rights and Obligations: Detailed responsibilities and obligations of the client
10. Fees and Charges: Structure of brokerage fees, commissions, and other charges
11. Payment and Settlement: Terms for payment, settlement of trades, and handling of client funds
12. Client's Representations and Warranties: Client's ongoing representations about their capacity and compliance
13. Risk Disclosure: Detailed disclosure of investment and trading risks
14. Default and Termination: Events of default and termination provisions
15. Liability and Indemnity: Limitation of liability and indemnification provisions
16. Privacy and Confidentiality: Handling of personal information and confidential data
17. Notices: Communication methods and requirements for formal notices
18. General Provisions: Standard boilerplate clauses including governing law, amendments, and assignment
1. International Trading: Additional terms for international market access and foreign exchange considerations
2. Margin Lending Facilities: Terms for margin lending services if offered by the broker
3. Research Services: Terms regarding provision of research and analysis services
4. Online Trading Platform: Specific terms for electronic trading platform access and usage
5. Wholesale Client Terms: Additional terms applicable only to wholesale clients
6. Managed Discretionary Account Services: Terms for discretionary trading services if offered
7. Corporate Action Services: Terms for handling corporate actions on behalf of clients
8. Direct Market Access: Specific terms for clients granted direct market access
1. Schedule 1 - Fee Schedule: Detailed breakdown of all fees, charges, and commission structures
2. Schedule 2 - Trading Terms: Specific terms and conditions for different types of trades and markets
3. Schedule 3 - Risk Disclosure Statement: Comprehensive risk disclosure required by regulations
4. Schedule 4 - Authorized Persons: List of persons authorized to give instructions on behalf of the client
5. Schedule 5 - Exchange Rules: Relevant market rules and requirements for different exchanges
6. Appendix A - Account Opening Forms: Required documentation for account setup and KYC
7. Appendix B - Trading Platform Terms: Specific terms and conditions for electronic trading platform usage
8. Appendix C - Market Data Terms: Terms for provision and use of market data services
Relevant legal definitions
Clauses
Relevant Industries
Financial Services
Investment Banking
Wealth Management
Retirement Planning
Corporate Finance
Asset Management
Securities Trading
Financial Technology
Professional Services
Superannuation
Relevant Teams
Legal
Compliance
Risk Management
Trading
Operations
Client Services
Account Management
Financial Advisory
Corporate Services
Investment Management
Documentation
Regulatory Affairs
Relevant Roles
Stockbroker
Compliance Officer
Legal Counsel
Risk Manager
Financial Advisor
Investment Manager
Trading Manager
Operations Manager
Client Relationship Manager
Compliance Manager
Chief Executive Officer
Chief Operating Officer
Chief Risk Officer
Head of Trading
Account Manager
Financial Services Manager
Find the exact document you need
Alarm Monitoring Agreement
An Australian-law governed agreement for security alarm monitoring services, detailing service provider and client obligations, response protocols, and compliance requirements.
find out more
Motor Vehicle Security Agreement
An Australian legal agreement creating a security interest over a motor vehicle as collateral, compliant with PPSA and state regulations.
find out more
Personal Information Confidentiality Agreement
An Australian law-compliant agreement establishing confidentiality obligations for handling personal information, aligned with the Privacy Act 1988 and APPs.
find out more
Stock Broker Agreement
An Australian-law governed agreement between a stockbroker and client establishing terms for securities trading services and regulatory compliance.
find out more
Hold Deposit Agreement
An Australian jurisdiction agreement that establishes terms for holding, releasing, or forfeiting a deposit between parties, ensuring compliance with local laws and protecting all parties' interests.
find out more
Penetration Testing Confidentiality Agreement
An Australian confidentiality agreement governing the protection of sensitive information during penetration testing services, including test results and discovered vulnerabilities.
find out more
Personal Property Security Agreement
An Australian law agreement creating security interests over personal property under the Personal Property Securities Act 2009 (Cth).
find out more
Data Privacy Contract
Australian-compliant Data Privacy Contract establishing data handling responsibilities and privacy obligations between organizations under Australian privacy laws.
find out more
Collateral Substitution Agreement
An Australian law-governed agreement enabling the substitution of collateral while preserving security interests and ensuring regulatory compliance.
find out more
Agreement To Exclude Security Of Tenure
An Australian legal agreement where landlord and tenant formally agree to exclude statutory lease renewal rights and security of tenure protections.
find out more
Lending Agreement With Collateral
An Australian law-governed agreement establishing terms for a loan secured by collateral, including security arrangements and PPSA compliance.
find out more
Key Holding Contract
An Australian-law governed agreement for professional key holding services, establishing terms for secure key management and property access.
find out more
Stock Collateral Loan Agreement
An Australian law-governed agreement establishing terms for a loan secured by stocks or securities as collateral, including security arrangements and PPSA compliance.
find out more
Pledged Collateral Account Control Agreement
An Australian law-governed agreement establishing control arrangements over pledged collateral accounts between a pledgor, secured party, and depositary bank.
find out more
Global Collateral Account Control Agreement
An Australian law-governed agreement establishing control over collateral accounts and security interests, defining rights and procedures for Account Holders, Secured Parties, and Account Banks.
find out more
Collateral Control Agreement
An Australian law-governed agreement establishing the framework for collateral management and control in secured financing arrangements, defining rights and obligations between lender, borrower, and collateral manager.
find out more
Preferred Equity Agreement
An Australian law-governed agreement establishing terms and conditions for preferred equity investment, including investor rights, economic terms, and regulatory compliance requirements.
find out more
Membership Interest Agreement
An Australian law-governed agreement establishing terms and conditions for company membership interests, including rights, obligations, and member relationships.
find out more
Lease Security Agreement
An Australian law-governed agreement creating security interests over lease rights and obligations, compliant with PPSA and state property legislation.
find out more
Guaranty And Security Agreement
An Australian law-governed agreement combining personal guarantees with security interests in assets, providing comprehensive protection for secured parties under PPSA and related legislation.
find out more
Global Master Repurchase Agreement
An Australian law-governed master agreement for repurchase transactions, establishing standardized terms for securities financing between financial counterparties.
find out more
Auto Loan Security Agreement
An Australian-law governed agreement establishing vehicle loan terms and security interest, complying with national consumer credit and personal property securities legislation.
find out more
Stock Escrow Agreement
An Australian-law governed agreement establishing terms for holding shares in escrow, detailing control and release conditions between shareholders, company, and escrow agent.
find out more
Chattel Security Agreement
An Australian law agreement creating a security interest over personal property (chattel) under the PPSA 2009, securing performance of obligations between parties.
find out more
Trademark Security Agreement
An Australian law agreement creating security interests over trademarks under PPSA and Trade Marks Act requirements.
find out more
Retail Installment Contract And Security Agreement
An Australian retail financing agreement that combines installment payment terms with security interests in purchased goods, compliant with Australian consumer credit and security laws.
find out more
Sublease Deposit Agreement
An Australian legal agreement establishing terms for security deposit handling in sublease arrangements, complying with state-specific tenancy laws.
find out more
Personal Loan Contract With Collateral
An Australian law-governed personal loan agreement with security interests over collateral, compliant with national consumer credit protection legislation.
find out more
Convertible Bond Subscription Agreement
An Australian law-governed agreement detailing terms for convertible bond subscription, including debt terms and equity conversion rights.
find out more
Shareholder Agreement Transfer Of Shares
An Australian law-governed agreement facilitating the transfer of company shares between parties, outlining terms, conditions, and regulatory compliance requirements.
find out more
Third Party Collateral Agreement
An Australian law-governed agreement where a third party provides collateral to secure another party's obligations, compliant with PPSA requirements.
find out more
Security Control Agreement
An Australian law-governed agreement establishing security holder control rights, voting mechanisms, and governance arrangements over a company or entity.
find out more
Key Holding Agreement
An Australian agreement governing professional key holding services, including secure key storage, access management, and emergency response protocols.
find out more
Inventory Security Agreement
An Australian law agreement creating security interests over inventory assets under the PPSA regime, establishing rights and obligations for secured financing.
find out more
Loan Agreement With Security
An Australian law governed agreement establishing loan terms and conditions with security provisions, detailing both lending terms and collateral arrangements.
find out more
Reinsurance Security Agreement
An Australian law agreement establishing security arrangements between reinsurer and cedant, securing reinsurance obligations through collateral arrangements.
find out more
Debenture Subscription Agreement
An Australian law-governed agreement setting out terms for debenture subscription, including investment terms, security arrangements, and compliance requirements.
find out more
Convertible Promissory Note Purchase Agreement
An Australian law-governed agreement for the issuance and purchase of convertible promissory notes, detailing investment terms and conversion rights.
find out more
Commercial Security Agreement
An Australian law-governed agreement creating security interests over personal property under the PPSA framework, establishing rights and obligations between secured parties and grantors.
find out more
Security Account Control Agreement
An Australian law-governed three-party agreement establishing control over deposit accounts as collateral in secured financing transactions.
find out more
ұԾ’s Security Promise
Genie is the safest place to draft. Here’s how we prioritise your privacy and security.
Your documents are private:
We do not train on your data; ұԾ’s AI improves independently
All data stored on Genie is private to your organisation
Your documents are protected:
Your documents are protected by ultra-secure 256-bit encryption
We are ISO27001 certified, so your data is secure
Organizational security:
You retain IP ownership of your documents and their information
You have full control over your data and who gets to see it
.png)