Introducing Broker Agreement

Introducing Broker Agreement Template for India

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Key Requirements PROMPT example:

"I need an Introducing Broker Agreement for my Mumbai-based wealth management firm to refer high-net-worth clients to a large executing broker, with a focus on advanced trading platforms and a 60-40 commission split structure."

Document background

The Introducing Broker Agreement is essential for financial institutions operating in India's securities market who wish to establish formal referral relationships. This document is typically used when a registered broker-dealer (the introducing broker) wants to leverage their client relationships by referring trading business to another broker (the executing broker) who has more extensive trading capabilities or better infrastructure. The agreement must comply with SEBI regulations and addresses key aspects such as commission sharing, client handling procedures, regulatory compliance, and risk management. It's particularly relevant in today's market where specialized roles and partnerships are increasingly common in the securities industry. The document includes specific provisions for technology integration, client confidentiality, and operational procedures while ensuring alignment with Indian securities laws and SEBI guidelines.

Suggested Sections

1. Parties: Identification of the executing broker and introducing broker with their respective regulatory registrations and contact details

2. Background: Context of the agreement, including the introducing broker's desire to refer clients and the executing broker's willingness to provide trading services

3. Definitions: Key terms used throughout the agreement, including regulatory terminology and business-specific definitions

4. Scope of Services: Detailed description of the introducing broker's role and limitations, including client referral terms

5. Regulatory Compliance: Obligations of both parties to comply with SEBI regulations and other applicable laws

6. Compensation Structure: Terms of commission sharing, payment calculations, and settlement procedures

7. Client Onboarding: Process and responsibilities for KYC, documentation, and client acceptance

8. Representations and Warranties: Standard and specific representations by both parties regarding licenses, capabilities, and compliance

9. Confidentiality: Protection of confidential information and client data

10. Term and Termination: Duration of the agreement and circumstances for termination

11. Indemnification: Mutual indemnification provisions and liability allocation

12. General Provisions: Standard clauses including notices, amendments, governing law, and dispute resolution

Optional Sections

1. Non-Compete: Restrictions on working with other brokers, used when exclusivity is required

2. White Labeling: Terms for using the executing broker's trading platform under the introducing broker's brand

3. Training and Support: Details of training and operational support provided by the executing broker

4. Marketing Guidelines: Rules for marketing and client communications, included when the introducing broker will conduct marketing activities

5. Digital Services: Terms for online platform access and digital communications, included when electronic services are provided

6. Cross-Border Provisions: Additional terms for international client referrals, included when dealing with foreign clients

Suggested Schedules

1. Schedule 1 - Commission Structure: Detailed breakdown of commission rates, sharing ratios, and calculation methods

2. Schedule 2 - Operating Procedures: Step-by-step procedures for client referral, account opening, and ongoing operations

3. Schedule 3 - Compliance Requirements: Specific regulatory requirements, reporting obligations, and compliance procedures

4. Schedule 4 - Required Documentation: List of mandatory documents for client onboarding and KYC

5. Schedule 5 - Contact Details: Key personnel and escalation matrix for both parties

6. Appendix A - Service Level Agreement: Performance metrics and service standards for both parties

7. Appendix B - Technology Requirements: Technical specifications and requirements for system integration

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

Securities Trading

Investment Banking

Wealth Management

Asset Management

Financial Technology

Professional Services

Capital Markets

Relevant Teams

Legal

Compliance

Operations

Business Development

Risk Management

Trading

Finance

Client Services

Partnerships

Product Management

Relevant Roles

Compliance Officer

Legal Counsel

Business Development Manager

Relationship Manager

Chief Operating Officer

Head of Trading

Risk Manager

Operations Manager

Chief Executive Officer

Head of Compliance

General Counsel

Business Head - Broking

Partnership Manager

Chief Financial Officer

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Let's create your Introducing Broker Agreement

Authors

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