The Stock Broker Agreement is a fundamental document used in the Canadian securities industry to formalize the relationship between licensed investment dealers and their clients. This agreement is essential for compliance with IIROC regulations, provincial securities laws, and federal legislation such as anti-money laundering requirements. It covers crucial aspects including account opening procedures, trading authorizations, fee structures, risk disclosures, and service limitations. The document is designed to protect both parties by clearly defining their rights and obligations while ensuring transparency in securities trading activities. It must be executed before any trading can commence and serves as the primary reference point for the ongoing broker-client relationship.
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 broker/dealer firm and the client, including full legal names and contact details
2. Background: Context of the agreement and purpose of the brokerage relationship
3. Definitions: Key terms used throughout the agreement, including regulatory and technical terminology
4. Scope of Services: Detailed description of brokerage services to be provided and any limitations
5. Account Opening and Operation: Process and requirements for opening and maintaining brokerage accounts
6. Client Instructions and Authorization: Methods for providing trading instructions and authorization requirements
7. Trading Terms and Conditions: Rules and procedures for executing trades and handling orders
8. Fees and Commissions: Complete fee structure, commission rates, and payment terms
9. Risk Disclosure: Mandatory risk warnings and acknowledgments regarding investment risks
10. Client Representations and Warranties: Client's confirmations regarding their status, capacity, and understanding
11. Broker Obligations: Responsibilities and duties of the broker including regulatory compliance
12. Privacy and Data Protection: Handling of personal and financial information in compliance with PIPEDA
13. Anti-Money Laundering Compliance: Requirements and procedures for AML/KYC compliance
14. Termination: Conditions and procedures for ending the brokerage relationship
15. Governing Law and Jurisdiction: Applicable Canadian law and jurisdiction for dispute resolution
1. Margin Trading Terms: Include when margin trading services are offered, detailing margin requirements and risks
2. Options Trading: Include for clients authorized to trade options, with specific terms and risk disclosures
3. Electronic Trading Platform: Include when providing access to electronic trading platforms, detailing access and usage terms
4. Foreign Securities Trading: Include when offering trading in foreign securities, with specific requirements and risks
5. Discretionary Account Management: Include when offering discretionary trading services, detailing authority and limitations
6. Joint Account Provisions: Include for joint accounts, specifying operating authorities and responsibilities
7. Corporate/Institutional Client Terms: Include for corporate or institutional clients, with specific requirements and obligations
1. Schedule A - Fee Schedule: Detailed breakdown of all fees, commissions, and charges
2. Schedule B - Risk Disclosure Statement: Comprehensive risk disclosures required by regulatory authorities
3. Schedule C - Trading Authorization Form: Form for designating authorized traders and trading permissions
4. Schedule D - Electronic Services Agreement: Terms and conditions for electronic trading platform access
5. Schedule E - Margin Agreement: Detailed terms and conditions for margin trading
6. Appendix 1 - Account Opening Documentation: Required forms and documentation for account opening
7. Appendix 2 - Regulatory Disclosures: Mandatory disclosures required by IIROC and securities regulators
8. Appendix 3 - Privacy Policy: Detailed privacy policy and information handling procedures
Relevant legal definitions
Clauses
Relevant Industries
Financial Services
Investment Banking
Securities Trading
Wealth Management
Asset Management
Investment Advisory
Private Banking
Corporate Finance
Retail Banking
Relevant Teams
Legal
Compliance
Operations
Risk Management
Client Services
Trading
Account Management
Regulatory Affairs
Documentation
Wealth Management
Investment Advisory
Relevant Roles
Compliance Officer
Legal Counsel
Investment Advisor
Stock Broker
Wealth Manager
Risk Manager
Operations Manager
Account Manager
Chief Compliance Officer
Regulatory Affairs Director
Investment Representative
Trading Desk Manager
Client Services Manager
Documentation Specialist
Legal Operations Manager
Find the exact document you need
Simple Security Agreement
A Canadian legal document creating a security interest in personal property as collateral for a loan or obligation, governed by the PPSA.
find out more
Motor Vehicle Security Agreement
A Canadian security agreement creating a lender's security interest in a motor vehicle as collateral, compliant with provincial PPSA requirements.
find out more
Personal Information Confidentiality Agreement
A Canadian-law governed agreement establishing obligations for protecting confidential personal information, ensuring compliance with PIPEDA and provincial privacy laws.
find out more
Stock Broker Agreement
A Canadian-compliant agreement establishing the terms and conditions between a licensed investment broker and client for securities trading services.
find out more
Simple Security Deposit Agreement
A Canadian-law governed agreement establishing terms for holding, managing, and returning a security deposit, ensuring compliance with federal and provincial regulations.
find out more
Pledge Agreement
A Canadian law-governed security document where a pledgor grants security over specific assets to secure obligations, subject to PPSA or Quebec Civil Code requirements.
find out more
Personal Property Security Agreement
A Canadian security agreement (governed by provincial PPSA legislation) that creates a security interest in personal property as collateral for a loan or obligation.
find out more
Data Privacy Contract
Canadian data privacy agreement governing personal information handling and processing under PIPEDA and provincial privacy laws.
find out more
Collateral Substitution Agreement
A Canadian law agreement establishing procedures and requirements for substituting collateral while maintaining existing security interests under federal and provincial regulations.
find out more
Collateral Agreement
A Canadian law security document creating and evidencing security interests in specified collateral to secure financial or other obligations, governed by provincial PPSAs and federal legislation.
find out more
Safe Deposit Box Lease Agreement
A Canadian legal agreement governing the rental of a safe deposit box from a financial institution, establishing terms for access, security, and liability under federal and provincial laws.
find out more
Tri Party Collateral Agreement
A Canadian law-governed agreement establishing a three-way relationship between parties for managing collateral transactions, including operational procedures and regulatory compliance requirements.
find out more
Safe Deposit Box Rental Agreement
A Canadian-compliant agreement governing the rental of safe deposit boxes, establishing terms between financial institutions and box holders.
find out more
Master Loan And Security Agreement
A Canadian jurisdiction agreement establishing terms for ongoing secured lending relationships and compliance with federal and provincial security laws.
find out more
Debenture Purchase Agreement
A Canadian law-governed agreement setting out terms for the purchase of debentures, including payment terms, security arrangements, and purchaser/issuer obligations.
find out more
Purchase Security Agreement
A Canadian legal document creating a security interest in purchased personal property, governed by provincial PPSA legislation.
find out more
Note And Security Agreement
A Canadian legal document combining a promissory note with security arrangements, establishing loan terms and collateral rights under federal and provincial laws.
find out more
Global Collateral Account Control Agreement
Canadian-law governed agreement establishing control rights over global collateral accounts, defining relationships between account holder, secured party, and account bank.
find out more
Debenture Trustee Agreement
A Canadian law-governed agreement establishing the terms of debentures and appointing a trustee to act on behalf of debenture holders.
find out more
Collateral Control Agreement
A Canadian law-governed agreement establishing control over collateral by an agent on behalf of a lender in secured financing arrangements.
find out more
Preferred Equity Agreement
A Canadian legal agreement governing the issuance of preferred shares and establishing investor rights and privileges under Canadian federal and provincial law.
find out more
Mortgage Bond Agreement
A Canadian law-governed agreement establishing terms for mortgage-backed bonds, including issuance, security, and bondholder rights.
find out more
Irrevocable Pledge Agreement
Canadian law-governed agreement creating an irrevocable security interest through a pledge of specific assets.
find out more
Lease Security Agreement
A Canadian law agreement combining lease provisions with security interest rights, governed by provincial PPSA legislation, used for securing leased assets.
find out more
Guaranty And Security Agreement
A Canadian legal document combining a guarantee of obligations with the granting of security interests in collateral, governed by federal and provincial secured transactions laws.
find out more
Equipment Security Agreement
A Canadian legal document creating a security interest in equipment to secure loan repayment or other obligations, compliant with provincial PPSA requirements.
find out more
Auto Loan Security Agreement
A Canadian security agreement that creates a lender's security interest in a financed vehicle while establishing loan terms and parties' rights under federal and provincial laws.
find out more
Stock Escrow Agreement
A Canadian-law governed agreement establishing terms for holding and releasing securities in escrow, typically used in IPOs and corporate transactions.
find out more
Personal Security Agreement
A Canadian law agreement creating a security interest in personal property as collateral for a loan or obligation, governed by provincial Personal Property Security Acts.
find out more
Security Deposit Installment Agreement
A Canadian legal agreement establishing installment payment terms for a security deposit between landlord and tenant, compliant with provincial residential tenancy laws.
find out more
Omnibus Loan And Security Agreement
A Canadian law-governed comprehensive agreement combining multiple loan facilities and security arrangements into a single integrated financing document.
find out more
Copyright Security Agreement
A Canadian legal document creating a security interest in copyrighted works as collateral, governed by federal copyright law and provincial security legislation.
find out more
Collateral Account Control Agreement
A Canadian law-governed agreement establishing control over deposit accounts in favor of a secured party, involving an account holder, secured party, and deposit bank.
find out more
Collateral Account Agreement
A Canadian law agreement establishing security interests and control rights over bank accounts used as collateral in financing transactions.
find out more
Chattel Security Agreement
A Canadian law agreement creating a security interest in personal property (chattels), governed by provincial Personal Property Security Act (PPSA) requirements.
find out more
Business Security Agreement
A Canadian legal document creating security interests in personal property under PPSA legislation to secure business obligations.
find out more
Trademark Security Agreement
A Canadian law agreement creating security interests in trademark assets, establishing lender rights and trademark owner obligations under federal and provincial regulations.
find out more
Sale Of Membership Interest Agreement
A Canadian law-governed agreement documenting the sale and transfer of membership interests in a business entity from seller to buyer.
find out more
Retail Installment Contract And Security Agreement
A Canadian retail contract combining installment payment terms with a security agreement, establishing purchase terms and creating a security interest in the goods as collateral.
find out more
Sublease Deposit Agreement
A Canadian legal agreement governing the terms and conditions of security deposits in sublease arrangements, ensuring compliance with provincial tenancy laws.
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)