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Broker Engagement Letter

Broker Engagement Letter Template for Hong Kong

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Key Requirements PROMPT example:

Broker Engagement Letter

"I need a Broker Engagement Letter for my Hong Kong-based brokerage firm that primarily serves retail clients, including electronic trading services and mobile app access, to be implemented by March 2025."

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Document background
A Broker Engagement Letter is a crucial document used in Hong Kong's financial services industry to formalize the relationship between licensed brokers and their clients. This document is required whenever a broker begins providing securities trading or related financial services to a new client, whether individual or corporate. The letter must comply with the Securities and Futures Commission's (SFC) regulatory requirements, including mandatory risk disclosures, fee transparency, and client protection measures. It typically includes details about service scope, commission structures, client obligations, and regulatory compliance requirements. The document serves as both a regulatory compliance tool and a legal protection mechanism for all parties involved, establishing clear expectations and responsibilities while adhering to Hong Kong's sophisticated financial services regulatory framework.
Suggested Sections

1. Letterhead and Date: Broker's company details, licensing information, and date of the letter

2. Client Details: Full name and address of the client

3. Salutation: Formal greeting to the client

4. Introduction: Brief introduction identifying the parties and purpose of the engagement

5. Scope of Services: Detailed description of brokerage services to be provided

6. Fees and Compensation: Clear outline of all fees, commissions, and charges

7. Client Obligations: Client's responsibilities and obligations including information provision

8. Risk Disclosures: Mandatory risk warnings and disclosures as required by SFC

9. Confidentiality: Obligations regarding confidential information handling

10. Term and Termination: Duration of engagement and termination provisions

11. Governing Law: Confirmation of Hong Kong law governance

12. Execution Block: Signature blocks for acceptance by both parties

Optional Sections

1. Conflicts of Interest: Additional disclosures about potential conflicts of interest when the broker has multiple roles or relationships

2. Electronic Trading Services: Include when offering online trading platforms or electronic services

3. Margin Trading Terms: Required when offering margin trading services

4. Research Services: Include when providing investment research as part of the services

5. Best Execution Policy: Detailed execution policy when handling multiple types of securities or markets

6. Third-Party Authorization: Include when client may authorize third parties to operate the account

Suggested Schedules

1. Fee Schedule: Detailed breakdown of all fees, commissions, and charges

2. Risk Disclosure Statement: Comprehensive risk disclosures required by SFC regulations

3. Personal Information Collection Statement: Privacy policy and data handling procedures

4. Trading Authorization Form: Standard form for client signature authorizing trading activities

5. Broker's Licensing Information: Details of regulatory licenses and registrations

6. Account Opening Forms: Required forms for opening trading accounts and KYC documentation

Authors

Alex Denne

Head of Growth (Open Source Law) @ ¶¶Òõ¶ÌÊÓƵ | 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

Securities Trading

Investment Banking

Wealth Management

Asset Management

Corporate Finance

Private Banking

Retail Banking

Professional Services

Legal Services

Relevant Teams

Legal

Compliance

Operations

Client Services

Risk Management

Trading

Account Management

Business Development

Documentation

Regulatory Affairs

Relevant Roles

Compliance Officer

Legal Counsel

Broker

Securities Trader

Relationship Manager

Risk Manager

Operations Manager

Client Services Manager

Chief Compliance Officer

Head of Legal

Director of Operations

Chief Executive Officer

Account Manager

Financial Advisor

Investment Consultant

Industries








Teams

Employer, Employee, Start Date, Job Title, Department, Location, Probationary Period, Notice Period, Salary, Overtime, Vacation Pay, Statutory Holidays, Benefits, Bonus, Expenses, Working Hours, Rest Breaks,  Leaves of Absence, Confidentiality, Intellectual Property, Non-Solicitation, Non-Competition, Code of Conduct, Termination,  Severance Pay, Governing Law, Entire Agreemen

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