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Broker Dealer Contract
"Need a Broker Dealer Contract for a UK-based fintech startup offering algorithmic trading services to professional clients only, with specific provisions for electronic trading platforms and API integration, to be implemented by March 2025."
1. Parties: Identification of the broker-dealer and client, including registration details and regulatory status
2. Background: Context of the agreement, regulatory framework, and purpose of the broker-dealer relationship
3. Definitions: Key terms used throughout the agreement, including regulatory and industry-specific terminology
4. Services: Detailed scope of broker-dealer services, permitted activities, and service limitations
5. Client Classification: Classification of client type (retail/professional/eligible counterparty) and resulting obligations
6. Fees and Charges: Payment terms, commission structure, and other applicable charges
7. Obligations and Responsibilities: Duties of both parties, including regulatory compliance requirements and reporting obligations
8. Risk Disclosures: Mandatory risk warnings and disclosures as required by FCA regulations
9. Anti-Money Laundering: AML compliance requirements, due diligence procedures, and ongoing monitoring
10. Confidentiality: Protection of confidential information and trade secrets
11. Term and Termination: Duration of agreement, termination rights, and post-termination obligations
12. Governing Law: Specification of English and Welsh law as governing law and jurisdiction
1. Online Services: Terms for electronic trading platforms and digital services
2. Research Services: Terms for providing investment research and analysis
3. Margin Trading: Terms and conditions for margin trading services
4. Corporate Finance Services: Terms for any corporate finance advisory services
5. International Trading: Additional terms for cross-border trading activities
1. Fee Schedule: Detailed breakdown of all fees, commissions, and charges
2. Risk Disclosure Statement: Comprehensive risk warnings for specific products and services
3. Order Execution Policy: Details of how client orders will be executed in compliance with best execution requirements
4. Conflicts of Interest Policy: Policy for identifying and managing potential conflicts of interest
5. Data Protection Schedule: GDPR compliance measures and data processing details
6. Required Regulatory Disclosures: Standard regulatory disclosures required by FCA and other applicable regulations
Authors
Applicable Law
Authorized Person
Best Execution
Business Day
Client
Client Assets
Client Money
Confidential Information
Conflicts of Interest Policy
Custodian
Electronic Services
Eligible Counterparty
Event of Default
FCA
FCA Rules
Financial Instruments
Force Majeure Event
FSMA
Intellectual Property Rights
Investment
Market Rules
MiFID II
Order
Order Execution Policy
Professional Client
Regulated Activities
Regulatory Authority
Retail Client
Services
Settlement Date
Settlement System
Trading Venue
Transaction
Transfer
UK MAR
Underlying Market
Regulatory Status
Client Classification
Client Instructions
Order Execution
Best Execution
Fees and Charges
Payment Terms
Client Money
Client Assets
Custody
Risk Disclosures
Representations and Warranties
Conflicts of Interest
Confidentiality
Data Protection
Market Abuse
Anti-Money Laundering
Record Keeping
Electronic Trading
Force Majeure
Default Events
Termination
Liability and Indemnification
Assignment
Amendments
Notices
Complaints Handling
Governing Law
Jurisdiction
Entire Agreement
Severability
Third Party Rights
Regulatory Reporting
Transaction Reporting
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