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Stock Exchange Agreement

Stock Exchange Agreement Template for Austria

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Key Requirements PROMPT example:

Stock Exchange Agreement

"I need a Stock Exchange Agreement for a German investment bank planning to become a market maker on the Austrian stock exchange from March 2025, with specific provisions for algorithmic trading and co-location services."

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Document background
The Stock Exchange Agreement serves as the primary contractual framework between a stock exchange operator and entities seeking to participate in trading activities on the exchange. This document is essential for any organization wanting to engage in securities trading on Austrian exchanges and must comply with both Austrian national law (particularly the Börsegesetz 2018) and EU financial regulations such as MiFID II and MiFIR. The agreement covers crucial aspects including admission criteria, trading rights, technical and operational requirements, compliance obligations, risk management procedures, and fee structures. It is designed to ensure orderly market operations while maintaining compliance with regulatory requirements and protecting market integrity.
Suggested Sections

1. Parties: Identification of the stock exchange operator and the trading participant

2. Background: Context of the agreement and brief description of the stock exchange services

3. Definitions: Detailed definitions of terms used throughout the agreement

4. Admission Requirements: Criteria and conditions for becoming and remaining a trading participant

5. Trading Rights and Obligations: Scope of trading privileges and corresponding obligations

6. Technical Requirements: Technical specifications and systems requirements for connecting to the exchange

7. Compliance Requirements: Regulatory compliance obligations and reporting requirements

8. Trading Rules: Specific rules governing trading activities and market conduct

9. Fees and Charges: Structure of fees, payment terms, and billing procedures

10. Risk Management: Risk management requirements and procedures

11. Default Procedures: Procedures in case of participant default or breach

12. Liability and Indemnification: Allocation of liability and indemnification provisions

13. Term and Termination: Duration of agreement and termination provisions

14. Confidentiality: Protection and handling of confidential information

15. Governing Law and Jurisdiction: Applicable law and dispute resolution procedures

Optional Sections

1. Market Making Obligations: Required when the participant will act as a market maker

2. Direct Market Access: Included when the participant offers DMA services to clients

3. Clearing Arrangements: Required when participant uses third-party clearing services

4. Data Distribution: Included when participant has rights to distribute market data

5. Algorithm Trading: Required for participants engaging in algorithmic trading

6. Co-location Services: Included when participant requires co-location facilities

7. Sponsored Access: Required when participant provides sponsored access to clients

Suggested Schedules

1. Schedule 1 - Technical Specifications: Detailed technical requirements and connectivity specifications

2. Schedule 2 - Fee Schedule: Detailed breakdown of all applicable fees and charges

3. Schedule 3 - Trading Hours and Calendar: Trading hours, holidays, and special trading sessions

4. Schedule 4 - Required Documentation: List of required regulatory and compliance documents

5. Schedule 5 - Contact Details: List of key contacts and escalation procedures

6. Schedule 6 - Service Level Agreement: Performance metrics and service levels

7. Appendix A - Trading Rules: Detailed trading rules and procedures

8. Appendix B - Risk Management Procedures: Detailed risk management requirements and procedures

9. Appendix C - Compliance Manual: Detailed compliance requirements and procedures

10. Appendix D - Emergency Procedures: Procedures for system outages and market emergencies

Authors

Alex Denne

Head of Growth (Open Source Law) @ Genie AI | 3 x UCL-Certified in Contract Law & Drafting | 4+ Years Managing 1M+ Legal Documents | Serial Founder & Legal AI Author

Linkedin in social icon imageX social icon image
alex.den.21@genieai.co
Relevant legal definitions
Access Credentials
Admission Criteria
Algorithmic Trading
Applicable Law
Authorized Person
Business Day
Clearing House
Clearing Member
Clearing System
Compliance Requirements
Confidential Information
Default Event
Direct Market Access
Emergency Situation
Exchange Rules
Exchange System
Fee Schedule
Force Majeure Event
Intellectual Property Rights
Market Data
Market Hours
Market Maker
Market Notice
Market Participants
Market Rules
Member Portal
Order
Participant ID
Position Limit
Regulated Market
Regulatory Authority
Risk Controls
Securities
Settlement Date
Sponsored Access
System Requirements
Trading Account
Trading Day
Trading Hours
Trading Interface
Trading License
Trading Participant
Trading Platform
Trading Rights
Trading Session
Trading Suspension
Transaction
User ID
User Manual
Working Hours
Clauses
Admission Requirements
Anti-Money Laundering
Assignment
Audit Rights
Authority and Capacity
Clearing and Settlement
Compliance
Confidentiality
Data Protection
Default
Dispute Resolution
Emergency Procedures
Fees and Payments
Force Majeure
Governing Law
Indemnification
Intellectual Property
Liability
Market Making
Notices
Representations and Warranties
Risk Management
Severability
System Access
Technical Requirements
Term and Termination
Trading Rights
Trading Rules
Waiver
Entire Agreement
Relevant Industries

Financial Services

Investment Banking

Securities Trading

Market Infrastructure

Financial Technology

Banking

Asset Management

Capital Markets

Professional Services

Financial Market Operations

Relevant Teams

Legal

Compliance

Trading Operations

Risk Management

Technical Operations

Market Operations

Information Technology

Market Surveillance

Business Development

Client Services

Market Access

Trading Floor Operations

Relevant Roles

Chief Executive Officer

Chief Operating Officer

Head of Trading

Compliance Officer

Legal Counsel

Risk Manager

Trading Operations Manager

Technical Operations Director

Head of Market Operations

Compliance Manager

Trading Systems Manager

Market Surveillance Officer

Chief Technology Officer

Head of Market Access

Senior Trading Manager

Industries
Austrian Stock Exchange Act (Börsegesetz 2018): Main legislation governing the organization and operation of stock exchanges in Austria, including trading rules, market supervision, and listing requirements
EU MiFID II (Markets in Financial Instruments Directive): European Union directive that provides harmonized regulation for investment services, affecting how stock exchanges operate across the EU
EU MiFIR (Markets in Financial Instruments Regulation): Companion regulation to MiFID II that sets requirements for trade transparency and reporting
Austrian Securities Supervision Act (Wertpapieraufsichtsgesetz 2018): Regulates the supervision of securities trading and investment services in Austria
Austrian Financial Market Anti-Money Laundering Act (FM-GwG): Provides regulations for preventing money laundering and terrorist financing in financial market transactions
Austrian Commercial Code (Unternehmensgesetzbuch): Contains general provisions affecting commercial transactions and corporate entities involved in stock exchange operations
Market Abuse Regulation (MAR): EU regulation addressing insider dealing, market manipulation, and other forms of market abuse
Austrian Financial Market Authority Act (FMABG): Establishes the legal framework for financial market supervision and regulatory authority in Austria
EU Central Securities Depositories Regulation (CSDR): Regulates securities settlement and central securities depositories across the EU
Austrian Payment Services Act (ZaDiG 2018): Relevant for payment and settlement aspects of stock exchange transactions
Teams

Employer, Employee, Start Date, Job Title, Department, Location, Probationary Period, Notice Period, Salary, Overtime, Vacation Pay, Statutory Holidays, Benefits, Bonus, Expenses, Working Hours, Rest Breaks,  Leaves of Absence, Confidentiality, Intellectual Property, Non-Solicitation, Non-Competition, Code of Conduct, Termination,  Severance Pay, Governing Law, Entire Agreemen

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