The Broker Referral Agreement is essential for businesses operating in Switzerland that wish to establish formal referral relationships with other brokers or intermediaries. This document is particularly relevant in the context of Swiss financial services, real estate, and professional services sectors, where referral arrangements are common practice. The agreement must comply with Swiss law, particularly the Swiss Code of Obligations (OR) Articles 412-418 governing brokerage contracts, as well as relevant financial market regulations and data protection laws. It typically includes comprehensive provisions for referral processes, compensation structures, compliance requirements, and risk allocation between parties. The document is designed to protect both the referring and receiving parties while ensuring transparency and regulatory compliance in referral arrangements.
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1. Parties: Identification of the referring broker and receiving broker, including full legal names, addresses, and registration details
2. Background: Context of the agreement, brief description of the parties' businesses, and purpose of the referral arrangement
3. Definitions: Key terms used throughout the agreement, including 'Referred Client', 'Referral Fee', 'Services', etc.
4. Scope of Agreement: Description of the referral arrangement, types of clients or business to be referred, and territorial scope
5. Referral Process: Detailed process for making and accepting referrals, including communication methods and timeframes
6. Compensation: Structure and calculation of referral fees, payment terms, and conditions for fee eligibility
7. Obligations of the Parties: Duties and responsibilities of both parties, including service standards and compliance requirements
8. Representations and Warranties: Statements of fact and guarantees by both parties regarding their capacity, licenses, and authority
9. Confidentiality: Protection of confidential information and client data, including compliance with FADP
10. Term and Termination: Duration of the agreement and circumstances under which it can be terminated
11. General Provisions: Standard clauses including governing law, jurisdiction, entire agreement, and amendments
1. Regulatory Compliance: Specific section for financial services or real estate compliance requirements, necessary when dealing with regulated activities
2. Non-Solicitation: Restrictions on soliciting referred clients or employees, included when protecting client relationships is crucial
3. Marketing and Branding: Guidelines for using each other's brands and marketing materials, needed when joint marketing is contemplated
4. Insurance Requirements: Specific insurance obligations, included when dealing with high-value transactions or regulated activities
5. Data Protection: Detailed data handling procedures, expanded section when extensive personal data processing is involved
6. Dispute Resolution: Alternative dispute resolution procedures, included when parties prefer arbitration or mediation
7. Force Majeure: Provisions for unforeseen circumstances, particularly relevant in long-term arrangements
1. Schedule 1 - Fee Structure: Detailed breakdown of referral fees, calculation methods, and payment examples
2. Schedule 2 - Referral Procedures: Step-by-step process flow, including forms and templates for referral submissions
3. Schedule 3 - Compliance Requirements: Specific regulatory requirements, checklists, and compliance procedures
4. Schedule 4 - Approved Services: List of services covered under the referral arrangement
5. Appendix A - Contact Details: Key contact information for both parties, including escalation procedures
6. Appendix B - Required Documentation: Templates and forms required for client referrals and fee claims
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