The Client Agreement Contract serves as the foundational document governing the relationship between financial service providers and their clients in Hong Kong. It is essential for any entity providing regulated financial services under Hong Kong's Securities and Futures Ordinance (Cap. 571) and must comply with the Securities and Futures Commission's requirements. The document outlines the terms of service, risk disclosures, client categorization, fee structures, and regulatory obligations. It is particularly crucial for financial institutions, investment firms, and professional service providers who need to ensure their client relationships are properly documented and compliant with Hong Kong regulations. The agreement typically includes provisions for various service types, from basic advisory to complex trading arrangements, and can be customized based on client classification (retail vs. professional investors) while maintaining regulatory compliance.
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1. Parties: Identifies and provides full details of the contracting parties including registration numbers and addresses
2. Background: Explains the context of the agreement and the parties' intentions
3. Definitions and Interpretation: Defines key terms used throughout the agreement and sets out interpretation rules
4. Scope of Services: Detailed description of services to be provided and any limitations
5. Client Representations and Warranties: Client's confirmations about their status, capacity, and understanding of risks
6. Service Provider Obligations: Details of the service provider's duties, standards of service, and compliance commitments
7. Fees and Payment Terms: Structure and timing of fees, expenses, and payment obligations
8. Instructions and Communications: Methods and protocols for giving instructions and communications between parties
9. Confidentiality: Obligations regarding confidential information handling and protection
10. Data Privacy and Protection: Compliance with PDPO and handling of personal data
11. Risk Disclosures: Mandatory risk warnings and disclosures as required by regulations
12. Liability and Indemnification: Extent of liability, limitations, and indemnification obligations
13. Term and Termination: Duration of agreement and circumstances for termination
14. Governing Law and Jurisdiction: Specification of Hong Kong law and jurisdiction for disputes
15. General Provisions: Standard boilerplate clauses including force majeure, notices, and amendments
1. Electronic Trading Services: Include when offering online trading platforms or electronic services
2. Margin Requirements: Required for margin trading services
3. Custody Services: Include when offering custody or safekeeping of client assets
4. Joint Account Provisions: Required when the agreement covers joint account holders
5. Third Party Authorization: Include when allowing third party operators or authorization
6. Foreign Exchange Services: Required when offering forex trading or related services
7. Research Services: Include when providing investment research services
8. Professional Investor Treatment: Required when client qualifies as a professional investor
9. Specific Product Terms: Include for specific investment products like derivatives or structured products
1. Schedule 1: Fee Schedule: Detailed breakdown of all fees, charges, and commissions
2. Schedule 2: Service Level Details: Specific details of service levels, response times, and performance metrics
3. Schedule 3: Risk Disclosure Statements: Detailed risk disclosures required by SFC regulations
4. Schedule 4: Personal Data Collection Statement: Detailed privacy policy and personal data handling procedures
5. Schedule 5: Electronic Trading Terms: Specific terms and conditions for electronic trading services
6. Appendix A: Account Opening Form: Standard form for collecting client information and preferences
7. Appendix B: Authorization Forms: Standard forms for various client authorizations
8. Appendix C: Product Specific Terms: Terms and conditions specific to particular investment products
Relevant legal definitions
Clauses
Relevant Industries
Financial Services
Banking
Investment Management
Wealth Management
Securities Trading
Asset Management
Corporate Advisory
Insurance
Fintech
Professional Services
Fund Management
Private Equity
Venture Capital
Family Office Services
Relevant Teams
Legal
Compliance
Risk Management
Client Services
Operations
Business Development
Account Management
Trading
Product Development
Investment Advisory
Wealth Management
Portfolio Management
Documentation
Relevant Roles
Compliance Officer
Legal Counsel
Risk Manager
Relationship Manager
Investment Advisor
Portfolio Manager
Operations Manager
Client Services Director
Chief Operating Officer
Chief Legal Officer
Chief Compliance Officer
Business Development Manager
Account Manager
Financial Advisor
Trading Manager
Product Manager
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