The Stock Broker Agreement serves as the foundational document governing the relationship between licensed securities brokers and their clients in the Philippines. This agreement is essential for any securities trading activity and must comply with the Securities Regulation Code (Republic Act No. 8799), Philippine Stock Exchange rules, and SEC regulations. It is used when establishing new trading accounts and typically includes comprehensive terms covering trading authority, risk disclosures, fee structures, and compliance requirements. The document reflects specific Philippine market requirements while incorporating international best practices in securities trading. It's particularly important as it provides legal protection for both parties while ensuring regulatory compliance in the Philippine securities market.
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1. Parties: Identification of the licensed stock broker and the client, including complete legal names and addresses
2. Background: Context of the agreement, including broker's licensing status and client's intention to engage in securities trading
3. Definitions: Key terms used throughout the agreement, including technical trading terms and regulatory references
4. Scope of Services: Detailed description of brokerage services provided, including trading execution, research, and advice if applicable
5. Client Representations and Warranties: Client's confirmations regarding legal capacity, understanding of risks, and compliance with regulations
6. Broker Authority and Obligations: Extent and limitations of broker's authority to act on client's behalf
7. Trading Instructions and Execution: Procedures for placing orders, execution policies, and confirmation requirements
8. Fees and Commissions: Detailed fee structure, commission rates, and payment terms
9. Account Management: Procedures for account opening, maintenance, and closure
10. Risk Disclosure: Mandatory risk warnings and acknowledgments as required by Philippine regulations
11. Compliance with Laws: Obligations to comply with securities laws, anti-money laundering regulations, and exchange rules
12. Records and Reporting: Requirements for maintaining records and providing transaction reports
13. Confidentiality: Protection of client information and trade data
14. Term and Termination: Duration of agreement and circumstances for termination
15. Liability and Indemnification: Allocation of risks and responsibilities between parties
16. Dispute Resolution: Procedures for handling disputes, including jurisdiction and governing law
17. General Provisions: Standard clauses including notices, amendments, and severability
1. Online Trading Services: Terms specific to electronic trading platforms and online access, used when online trading services are offered
2. Margin Trading: Terms for margin trading facilities, included when margin trading services are offered
3. Foreign Securities Trading: Additional terms for trading in foreign securities markets, included when foreign trading is offered
4. Research Services: Terms relating to provision of research and analysis, included when research services are part of the offering
5. Discretionary Trading Authority: Terms for managed accounts where broker has discretionary trading authority, included for managed accounts
6. Joint Account Provisions: Additional terms for joint accounts, included when account holders are more than one person
7. Corporate Account Provisions: Specific terms for corporate clients, included when the client is a corporation
1. Schedule A - Fee Schedule: Detailed breakdown of all applicable fees, commissions, and charges
2. Schedule B - Risk Disclosure Statement: Comprehensive risk disclosure as required by Philippine regulations
3. Schedule C - Trading Procedures: Detailed procedures for order placement, execution, and settlement
4. Schedule D - Online Trading Terms: Technical requirements and procedures for online trading platform
5. Schedule E - Required Client Information: KYC forms and required client documentation
6. Appendix 1 - Power of Attorney: Standard POA form for authorized representatives
7. Appendix 2 - Account Opening Forms: Standard forms required for account opening
8. Appendix 3 - Specimen Signatures: Authorized signatures for account operation
Relevant legal definitions
Clauses
Relevant Industries
Financial Services
Investment Banking
Securities Trading
Wealth Management
Asset Management
Corporate Finance
Private Banking
Retail Banking
Investment Advisory
Financial Technology
Relevant Teams
Legal
Compliance
Trading Operations
Risk Management
Client Services
Account Management
Investment Advisory
Operations
Finance
Regulatory Affairs
Relevant Roles
Compliance Officer
Legal Counsel
Trading Manager
Account Manager
Risk Officer
Investment Advisor
Securities Broker
Financial Controller
Operations Manager
Client Relations Manager
Chief Financial Officer
Portfolio Manager
Wealth Manager
Investment Analyst
Regulatory Affairs Officer
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