The Brokerage Contract serves as the foundational document governing the relationship between licensed brokers and their clients in Canada's financial markets. This agreement is essential for any broker-dealer providing trading, investment, or related financial services to clients, whether individuals or institutions. It must comply with provincial Securities Acts, IIROC regulations, and federal legislation including anti-money laundering and privacy laws. The contract typically covers comprehensive service terms, regulatory compliance requirements, risk disclosures, and fee structures. It's designed to protect both parties' interests while ensuring transparency and regulatory compliance in the Canadian financial services sector. This document is particularly crucial as it establishes the framework for all future trading activities and financial services provided by the broker.
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1. Parties: Identifies and provides full legal details of the broker and client
2. Background: Establishes the context of the agreement, including the broker's licensing status and client's desire for brokerage services
3. Definitions: Defines key terms used throughout the agreement
4. Scope of Services: Details the specific brokerage services to be provided
5. Broker's Rights and Obligations: Outlines the broker's duties, responsibilities, and authority
6. Client's Rights and Obligations: Specifies client responsibilities, including information provision and compliance requirements
7. Fees and Compensation: Details all fees, commissions, and payment terms
8. Account Management: Procedures for account opening, maintenance, and closing
9. Risk Disclosure: Mandatory risk warnings and acknowledgments
10. Compliance with Laws: Addresses regulatory compliance requirements and anti-money laundering obligations
11. Confidentiality: Provisions for handling confidential information and personal data
12. Term and Termination: Duration of the agreement and termination provisions
13. Liability and Indemnification: Limits of liability and indemnification obligations
14. Dispute Resolution: Procedures for handling disputes and applicable jurisdiction
15. General Provisions: Standard boilerplate clauses including notices, amendments, and assignment
1. Online Trading Services: Include when offering electronic trading platforms or online services
2. Margin Trading: Include when margin trading services are offered
3. Foreign Exchange Services: Include when forex trading is part of the services
4. Discretionary Trading Authority: Include when the broker has discretionary trading authority
5. Research Services: Include when providing investment research services
6. Joint Account Provisions: Include when allowing joint accounts
7. Options Trading: Include when options trading services are offered
8. Corporate Actions: Include when handling corporate actions for clients
9. Sub-broker Arrangements: Include when involving sub-brokers or introducing brokers
1. Schedule A - Fee Schedule: Detailed breakdown of all fees, commissions, and charges
2. Schedule B - Risk Disclosure Statement: Comprehensive risk disclosures required by regulations
3. Schedule C - Trading Rules and Procedures: Detailed trading procedures and requirements
4. Schedule D - Electronic Trading Terms: Terms specific to electronic trading platforms
5. Schedule E - Authorized Persons: List of persons authorized to trade on behalf of the client
6. Appendix 1 - Account Opening Forms: Required forms for account opening and KYC
7. Appendix 2 - Compliance Documentation: Required regulatory and compliance acknowledgments
8. Appendix 3 - Service Level Agreement: Detailed service standards and performance metrics
Relevant legal definitions
Clauses
Relevant Industries
Financial Services
Investment Banking
Securities Trading
Wealth Management
Asset Management
Capital Markets
Private Banking
Corporate Finance
Retail Banking
Insurance
Relevant Teams
Legal
Compliance
Trading
Operations
Risk Management
Client Services
Account Management
Business Development
Finance
Product Development
Regulatory Affairs
Documentation
Relevant Roles
Compliance Officer
Legal Counsel
Broker-Dealer
Investment Advisor
Securities Trader
Account Manager
Risk Manager
Operations Manager
Chief Compliance Officer
Financial Advisor
Relationship Manager
Trading Desk Manager
Portfolio Manager
Business Development Manager
Chief Legal Officer
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