The Broker to Broker Referral Form is essential in the regulated financial services sector of England and Wales, where brokers frequently collaborate to serve clients' diverse needs. This document is used when one broker wishes to refer a client to another broker with specific expertise or services not available in-house. The form ensures compliance with FCA regulations, documents commission sharing arrangements, and maintains clear audit trails of referrals. It includes crucial elements such as client consent, data protection provisions, and regulatory declarations, while protecting the interests of all parties involved.
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1. Referring Broker Details: Complete information about the broker making the referral including FCA registration number, contact details, and authorized representatives
2. Receiving Broker Details: Complete information about the broker receiving the referral including FCA registration number, contact details, and authorized representatives
3. Client Information: Essential client details including full name, contact information, and service requirements
4. Service Requirements: Detailed description of the specific services being referred and scope of work
5. Referral Fee Structure: Agreement on commission sharing, payment terms, and fee calculation methodology
6. Regulatory Declarations: Statements confirming regulatory compliance, including FCA requirements and data protection obligations
1. Additional Client Requirements: Special instructions or requirements, used when client has specific needs or circumstances that require extra attention
2. Timeline Specifications: Specific timeframes for action and service delivery, used when the referral is time-sensitive or requires urgent attention
3. Communication Protocols: Specific communication requirements between brokers, used for complex cases requiring regular updates or specific reporting structures
1. Client Consent Form: Signed authorization from client for information sharing and data processing between brokers
2. Service Level Agreement: Detailed terms of service between brokers including response times and service standards
3. Fee Schedule: Detailed breakdown of commission sharing arrangement and payment terms
4. Compliance Checklist: Regulatory compliance verification checklist covering FCA requirements and other relevant regulations
Relevant legal definitions
Referring Broker
Receiving Broker
Client
Referral
Referral Fee
Commission Split
Confidential Information
Services
Regulatory Requirements
FCA
Business Day
Effective Date
Personal Data
Territory
Intellectual Property Rights
Material
Professional Indemnity Insurance
Regulated Activities
Term
Working Hours
Receiving Broker
Client
Referral
Referral Fee
Commission Split
Confidential Information
Services
Regulatory Requirements
FCA
Business Day
Effective Date
Personal Data
Territory
Intellectual Property Rights
Material
Professional Indemnity Insurance
Regulated Activities
Term
Working Hours
Clauses
Referral Process
Commission Structure
Payment Terms
Confidentiality
Data Protection
Regulatory Compliance
Client Consent
Duration and Termination
Professional Indemnity
Liability and Indemnification
Non-Solicitation
Record Keeping
Dispute Resolution
Force Majeure
Assignment
Notices
Entire Agreement
Severability
Governing Law
Anti-Money Laundering
Client Communication
Quality Standards
Reporting Requirements
Intellectual Property
Variation
Commission Structure
Payment Terms
Confidentiality
Data Protection
Regulatory Compliance
Client Consent
Duration and Termination
Professional Indemnity
Liability and Indemnification
Non-Solicitation
Record Keeping
Dispute Resolution
Force Majeure
Assignment
Notices
Entire Agreement
Severability
Governing Law
Anti-Money Laundering
Client Communication
Quality Standards
Reporting Requirements
Intellectual Property
Variation
Relevant Industries
Relevant Teams
Relevant Roles
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