The Financial Agency Agreement is essential for financial institutions operating in Ireland who wish to appoint agents to act on their behalf in providing financial services. This document is particularly relevant in the context of Irish financial services regulation, where specific requirements exist under the Central Bank Act, Investment Intermediaries Act, and various EU regulations including MiFID II. The agreement should be used when establishing new agency relationships in the financial sector, ensuring compliance with Irish regulatory requirements, defining commission structures, and establishing clear operational procedures. It includes comprehensive provisions for regulatory compliance, risk management, data protection, and consumer protection, making it suitable for various financial services activities while maintaining compliance with Irish and EU regulatory frameworks.
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1. Parties: Identification of the Principal (financial institution) and the Agent, including regulatory status and authorizations
2. Background: Context of the agreement, including the Principal's business and intention to appoint the Agent
3. Definitions: Definitions of key terms used throughout the agreement
4. Appointment and Scope: Terms of appointment, territory, and scope of authority granted to the Agent
5. Regulatory Compliance: Obligations regarding compliance with financial services regulations and maintaining necessary authorizations
6. Agent's Duties and Responsibilities: Detailed obligations of the Agent including reporting, record-keeping, and compliance requirements
7. Principal's Duties and Responsibilities: Obligations of the Principal including support, training, and information provision
8. Commission and Payment Terms: Structure of commissions, payment terms, and calculation methods
9. Anti-Money Laundering Compliance: Specific AML obligations and procedures
10. Data Protection and Confidentiality: GDPR compliance and confidentiality obligations
11. Term and Termination: Duration of agreement and termination provisions
12. Post-Termination Obligations: Obligations and restrictions following termination
13. Indemnification and Liability: Mutual indemnities and limitation of liability provisions
14. General Provisions: Standard boilerplate clauses including notices, amendments, and governing law
1. Non-Compete and Non-Solicitation: Restrictions on competitive activities and client solicitation - include when Agent will have significant client contact
2. Intellectual Property Rights: IP ownership and usage rights - include when branded materials or proprietary systems are involved
3. Insurance Requirements: Specific insurance obligations - include when Agent handles high-value transactions
4. Training and Support: Detailed training and support provisions - include for complex financial products
5. Marketing and Branding: Rules for marketing and brand usage - include when Agent will conduct marketing activities
6. Minimum Performance Requirements: Performance targets and consequences - include for performance-based arrangements
7. Sub-Agents: Rules regarding appointment of sub-agents - include when sub-agents may be needed
1. Schedule 1 - Products and Services: Detailed list of financial products and services covered by the agreement
2. Schedule 2 - Commission Structures: Detailed commission rates, calculations, and payment terms
3. Schedule 3 - Territory: Definition of geographical territory or market segments
4. Schedule 4 - Compliance Procedures: Detailed compliance and AML procedures
5. Schedule 5 - Reporting Requirements: Templates and timing for required reports
6. Appendix A - Required Documentation: List of required regulatory and customer documentation
7. Appendix B - Data Processing Requirements: Detailed GDPR-compliant data processing procedures
Relevant legal definitions
Clauses
Relevant Industries
Financial Services
Banking
Insurance
Investment Services
Wealth Management
Asset Management
Payment Services
Financial Technology
Credit Services
Fund Management
Relevant Teams
Legal
Compliance
Risk Management
Operations
Commercial
Business Development
Sales
Finance
Regulatory Affairs
Agency Management
Contract Administration
Product Development
Relevant Roles
Compliance Officer
Legal Counsel
Financial Services Director
Business Development Manager
Risk Manager
Operations Director
Commercial Director
Regulatory Affairs Manager
Financial Agent
Branch Manager
Sales Director
Chief Financial Officer
Chief Operating Officer
Relationship Manager
Agency Network Manager
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