Investment Broker Agreement Template for Denmark

The Investment Broker Agreement is a crucial document used to establish and govern the professional relationship between investment brokers and their clients in Denmark. This agreement is essential for any financial institution or investment firm providing regulated investment services under Danish law. The document comprehensively covers all aspects of the investment relationship, including service scope, regulatory compliance, risk disclosures, fee structures, and operational procedures. It ensures compliance with Danish financial regulations, particularly the Danish Financial Business Act and Capital Markets Act, as well as EU directives such as MiFID II. The Investment Broker Agreement is designed to protect both parties' interests while meeting regulatory requirements for transparency, client protection, and risk disclosure.

1. Parties: Identification of the investment broker and the client, including registration numbers and contact details

2. Background: Context of the agreement, including broker's regulatory status and general purpose of the arrangement

3. Definitions: Key terms used throughout the agreement, including regulatory and technical terms

4. Scope of Services: Detailed description of investment services to be provided by the broker

5. Client Classification: Classification of the client as retail, professional, or eligible counterparty as per MiFID II requirements

6. Broker's Obligations: Key responsibilities of the broker, including duty of care, best execution, and reporting obligations

7. Client's Obligations: Client's responsibilities including providing accurate information and maintaining minimum account requirements

8. Fees and Commissions: Detailed fee structure, commission rates, and payment terms

9. Risk Disclosures: Mandatory risk warnings and disclosures about investment risks

10. Conflicts of Interest: Disclosure of potential conflicts and how they are managed

11. Communications: Methods and requirements for communications between parties

12. Confidentiality: Confidentiality obligations and permitted disclosures

13. Data Protection: GDPR compliance and data handling procedures

14. Anti-Money Laundering: AML/KYC requirements and procedures

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

16. Liability and Indemnification: Limitations of liability and indemnification provisions

17. Governing Law and Jurisdiction: Specification of Danish law and jurisdiction