Broker Dealer Referral Agreement

Broker Dealer Referral Agreement Template for Switzerland

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Key Requirements PROMPT example:

"I need a Broker Dealer Referral Agreement under Swiss law for our Zurich-based wealth management firm to refer high-net-worth clients to a UK securities firm, with specific provisions for cross-border compliance and a tiered fee structure based on investment amount."

Document background

The Broker Dealer Referral Agreement is essential for financial institutions and intermediaries operating in Switzerland who wish to establish formal referral arrangements for securities trading and investment services. This document is specifically designed to comply with Swiss financial regulations, including the Federal Act on Financial Services (FinSA) and the Federal Act on Financial Institutions (FinIA). It's typically used when a referring party wants to introduce clients to a licensed broker-dealer for securities trading, investment services, or related financial products. The agreement covers crucial aspects such as regulatory compliance, compensation structures, client documentation requirements, data protection, and risk allocation between parties. It's particularly important in the Swiss context due to the strict regulatory framework governing financial intermediaries and the provision of financial services.

Suggested Sections

1. Parties: Identification of the broker-dealer and the referring party, including their regulatory status and contact details

2. Background: Context of the agreement and brief description of the parties' businesses and intention to enter into a referral arrangement

3. Definitions: Key terms used throughout the agreement, including regulatory terminology specific to Swiss financial services laws

4. Scope of Services: Detailed description of referral services, permitted activities, and territorial limitations

5. Regulatory Compliance: Obligations to comply with Swiss financial regulations, including FinSA, FinIA, and AMLA requirements

6. Representations and Warranties: Parties' confirmations regarding licensing, regulatory status, and ability to perform obligations

7. Referral Process: Step-by-step process for making and accepting referrals, including documentation requirements

8. Compensation: Fee structure, payment terms, and conditions for earning referral fees

9. Confidentiality: Protection of confidential information and client data in accordance with Swiss law

10. Data Protection: Compliance with Swiss Federal Data Protection Act and handling of personal data

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

12. Non-Solicitation and Non-Competition: Restrictions on soliciting clients or competing during and after the agreement

13. Indemnification: Mutual indemnification obligations for breaches and claims

14. General Provisions: Standard clauses including governing law, jurisdiction, assignment, and amendments

Optional Sections

1. Marketing and Branding: Rules for use of parties' brands and marketing materials - include when parties will engage in co-branded marketing

2. Training Requirements: Specific training obligations for referring party's staff - include when referring party needs product knowledge

3. Service Levels: Performance metrics and response times - include when specific service standards are required

4. International Referrals: Additional provisions for cross-border referrals - include when referrals involve multiple jurisdictions

5. Insurance Requirements: Specific insurance coverage obligations - include when referring party needs professional indemnity insurance

6. Audit Rights: Rights to audit referral activities and documentation - include for high-volume or high-risk arrangements

Suggested Schedules

1. Schedule 1 - Compensation Schedule: Detailed fee structure, calculation methods, and payment terms

2. Schedule 2 - Referral Documentation: Required forms and templates for making referrals

3. Schedule 3 - Compliance Procedures: Detailed compliance requirements and procedures

4. Schedule 4 - Approved Products/Services: List of products/services eligible for referral

5. Schedule 5 - Contact Details: Key contact persons and escalation procedures

6. Appendix A - Required Regulatory Disclosures: Standard disclosures required under Swiss financial regulations

7. Appendix B - Data Processing Terms: Detailed data protection and processing requirements

Authors

Alex Denne

Head of Growth (Open Source Law) @ ��Ƶ | 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

Banking

Investment Management

Securities Trading

Wealth Management

Asset Management

Financial Technology

Professional Services

Investment Advisory

Relevant Teams

Legal

Compliance

Business Development

Operations

Risk Management

Regulatory Affairs

Partner Relations

Client Services

Corporate Development

Deal Advisory

Relevant Roles

Chief Compliance Officer

Head of Legal

Business Development Manager

Relationship Manager

Compliance Manager

Legal Counsel

Partner (Financial Services)

Head of Operations

Risk Manager

Chief Executive Officer

Head of Broker-Dealer Relations

Business Development Director

Head of Partnerships

Regulatory Affairs Manager

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