The Broker Agreement is essential for businesses operating in the Irish financial services sector that utilize intermediaries to distribute their products or services. This agreement is particularly important given the regulated nature of financial services in Ireland and the need to comply with various regulatory requirements, including those imposed by the Central Bank of Ireland. The document establishes the framework for the business relationship, covering crucial elements such as regulatory compliance, service scope, compensation structures, and risk allocation. It's designed to protect both parties while ensuring compliance with Irish and EU regulations, including MiFID II where applicable, the Investment Intermediaries Act 1995, and the Consumer Protection Code 2012. The agreement is typically used when a financial institution wants to expand its distribution network through independent brokers or when establishing formal arrangements with existing intermediaries.
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1. Parties: Identifies the broker and the principal company, including their registered addresses and company details
2. Background: Sets out the context of the agreement, including the broker's regulatory status and the nature of the business relationship
3. Definitions and Interpretation: Defines key terms used throughout the agreement and sets out interpretation rules
4. Appointment and Scope: Details the appointment of the broker and the scope of authorized activities
5. Regulatory Compliance: Sets out the regulatory obligations and compliance requirements for both parties
6. Duties and Responsibilities: Details the specific duties and responsibilities of the broker
7. Compensation and Payment Terms: Specifies commission structures, payment terms, and related financial arrangements
8. Representations and Warranties: Contains standard and specific warranties from both parties
9. Data Protection and Confidentiality: Addresses GDPR compliance and confidentiality obligations
10. Intellectual Property: Covers the use of trademarks, marketing materials, and other IP
11. Indemnification and Liability: Sets out the liability regime and indemnification obligations
12. Term and Termination: Specifies the duration of the agreement and termination provisions
13. Post-Termination Obligations: Details obligations that survive termination
14. Dispute Resolution: Sets out the process for resolving disputes
15. General Provisions: Contains standard boilerplate clauses including notices, assignment, and entire agreement
1. Insurance Requirements: Required when the broker deals with insurance products, specifying insurance-specific regulatory requirements
2. Investment Services: Required when the broker provides investment services, including MiFID II compliance requirements
3. Exclusivity: Used when the broker is appointed on an exclusive basis for certain products or territories
4. Sub-Brokers and Introducers: Required when the broker is permitted to appoint sub-brokers or work with introducers
5. International Services: Required when the broker provides cross-border services
6. Marketing and Promotion: Detailed marketing requirements and restrictions, if the broker has significant marketing responsibilities
7. Information Technology: Required when specific software or systems are provided by the principal
8. Training Requirements: Used when specific training obligations are imposed on the broker
1. Schedule 1 - Products and Services: Detailed list of authorized products and services the broker can offer
2. Schedule 2 - Commission Rates: Detailed commission structures and calculation methods
3. Schedule 3 - Service Levels: Performance standards and service level requirements
4. Schedule 4 - Compliance Procedures: Detailed compliance procedures and requirements
5. Schedule 5 - Reporting Requirements: Templates and requirements for periodic reporting
6. Schedule 6 - Approved Sub-Brokers: List of approved sub-brokers if applicable
7. Appendix A - Required Documentation: Lists of required documentation for customer onboarding
8. Appendix B - Marketing Guidelines: Detailed marketing and branding guidelines
Relevant legal definitions
Clauses
Relevant Industries
Financial Services
Insurance
Investment Banking
Real Estate
Mortgage Lending
Wealth Management
Corporate Finance
Commodities Trading
Securities Trading
Pension Services
Relevant Teams
Legal
Compliance
Risk Management
Sales
Distribution
Operations
Finance
Business Development
Product Management
Partner Relations
Commercial
Relevant Roles
Chief Executive Officer
Chief Compliance Officer
Head of Distribution
Legal Counsel
Compliance Manager
Sales Director
Business Development Manager
Risk Manager
Operations Director
Channel Manager
Partnership Manager
Broker Relations Manager
Commercial Director
Financial Controller
Product Manager
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