Broker To Broker Referral Form

Broker To Broker Referral Form Generator for England and Wales

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Key Requirements PROMPT example:

"I need a Broker to Broker Referral Form for my mortgage brokerage to refer high-net-worth clients to a specialist investment broker, with a 30% commission split arrangement and specific provisions for handling sensitive client data in compliance with FCA regulations."

Document background

The Broker to Broker Referral Form is essential in the regulated financial services sector of England and Wales, where brokers frequently collaborate to serve clients' diverse needs. This document is used when one broker wishes to refer a client to another broker with specific expertise or services not available in-house. The form ensures compliance with FCA regulations, documents commission sharing arrangements, and maintains clear audit trails of referrals. It includes crucial elements such as client consent, data protection provisions, and regulatory declarations, while protecting the interests of all parties involved.

Suggested Sections

1. Referring Broker Details: Complete information about the broker making the referral including FCA registration number, contact details, and authorized representatives

2. Receiving Broker Details: Complete information about the broker receiving the referral including FCA registration number, contact details, and authorized representatives

3. Client Information: Essential client details including full name, contact information, and service requirements

4. Service Requirements: Detailed description of the specific services being referred and scope of work

5. Referral Fee Structure: Agreement on commission sharing, payment terms, and fee calculation methodology

6. Regulatory Declarations: Statements confirming regulatory compliance, including FCA requirements and data protection obligations

Optional Sections

1. Additional Client Requirements: Special instructions or requirements, used when client has specific needs or circumstances that require extra attention

2. Timeline Specifications: Specific timeframes for action and service delivery, used when the referral is time-sensitive or requires urgent attention

3. Communication Protocols: Specific communication requirements between brokers, used for complex cases requiring regular updates or specific reporting structures

Suggested Schedules

1. Client Consent Form: Signed authorization from client for information sharing and data processing between brokers

2. Service Level Agreement: Detailed terms of service between brokers including response times and service standards

3. Fee Schedule: Detailed breakdown of commission sharing arrangement and payment terms

4. Compliance Checklist: Regulatory compliance verification checklist covering FCA requirements and other relevant regulations

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
Real Estate
Insurance
Investment Banking

Relevant Teams

Compliance
Business Development
Legal
Operations
Finance

Relevant Roles

Mortgage Broker
Insurance Broker
Financial Advisor
Compliance Officer
Business Development Manager

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Let's create your Broker To Broker Referral Form

Authors

Alex Denne

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How a Sales & Marketing Lead uses ��Ƶ to reduce contract drafting time by 95%

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