The Investment Broker Agreement serves as the foundational document for establishing and managing broker-client relationships in the Philippine investment market. This agreement is essential when an individual or entity engages a licensed investment broker to conduct securities trading, provide investment advice, or manage investment portfolios. The document must comply with the Philippine Securities Regulation Code, BSP regulations, and Anti-Money Laundering Act requirements. It typically includes detailed provisions on service scope, fee structures, regulatory compliance, risk disclosures, and operational procedures. The agreement is particularly important in the Philippine context due to specific local regulatory requirements and the need to protect both broker and client interests in investment transactions.
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1. Parties: Identification of the investment broker and the client, including complete legal names, addresses, and registration details
2. Background: Context of the agreement, including broker's qualifications and client's investment objectives
3. Definitions: Key terms used throughout the agreement, including technical and regulatory terminology
4. Appointment and Scope of Services: Formal appointment of broker and detailed description of authorized investment services
5. Regulatory Compliance: Commitment to comply with Philippine securities laws, SEC regulations, and BSP requirements
6. Broker's Obligations: Detailed responsibilities including execution of trades, reporting, and fiduciary duties
7. Client's Obligations: Client's responsibilities including providing accurate information and maintaining minimum account requirements
8. Fees and Compensation: Structure of broker's fees, commissions, and payment terms
9. Risk Disclosure: Mandatory risk warnings and acknowledgments as required by Philippine regulations
10. Confidentiality: Protection of client information and trade secrets
11. Anti-Money Laundering Compliance: AMLA compliance procedures and requirements
12. Term and Termination: Duration of agreement and conditions for termination
13. Liability and Indemnification: Limits of broker's liability and mutual indemnification provisions
14. Governing Law and Jurisdiction: Application of Philippine law and jurisdiction for disputes
15. General Provisions: Standard clauses including notices, amendments, and severability
1. Discretionary Trading Authority: Used when broker is granted authority to make investment decisions without prior client approval
2. Online Trading Services: Include when offering electronic trading platforms or online services
3. Foreign Investment Provisions: Required when dealing with international investments or foreign securities
4. Portfolio Management Services: Include when offering comprehensive portfolio management rather than just brokerage
5. Research and Advisory Services: When broker provides investment research and advisory services
6. Margin Trading Terms: Include when allowing trading on margin
7. Joint Account Provisions: Required when account holders are more than one person
1. Schedule A - Fee Schedule: Detailed breakdown of all fees, commissions, and charges
2. Schedule B - Authorized Investments: List of approved investment types and any restrictions
3. Schedule C - Risk Disclosure Statement: Comprehensive risk disclosures required by Philippine regulations
4. Schedule D - Account Opening Requirements: List of required documents and procedures for account opening
5. Schedule E - Trading Procedures: Detailed procedures for order placement and execution
6. Appendix 1 - Compliance Documentation: Required regulatory forms and compliance certificates
7. Appendix 2 - Power of Attorney: If applicable, formal authorization for discretionary trading
8. Appendix 3 - Client Risk Profile: Assessment of client's risk tolerance and investment objectives
Relevant legal definitions
Clauses
Relevant Industries
Financial Services
Banking
Investment Management
Securities Trading
Wealth Management
Corporate Finance
Asset Management
Private Equity
Insurance
Pension Funds
Relevant Teams
Legal
Compliance
Risk Management
Investment Management
Operations
Client Services
Treasury
Finance
Corporate Advisory
Wealth Management
Relevant Roles
Investment Broker
Compliance Officer
Legal Counsel
Risk Manager
Investment Advisor
Portfolio Manager
Securities Trader
Client Relationship Manager
Operations Manager
Chief Financial Officer
Treasury Manager
Investment Director
Wealth Manager
Financial Controller
Chief Executive Officer
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