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.
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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
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
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
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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