Broker Agreement Template for Hong Kong

1. Parties: Identification of the broker and the client, including licensing details of the broker

2. Background: Context of the agreement and brief description of the brokerage services to be provided

3. Definitions: Definitions of key terms used throughout the agreement

4. Appointment and Scope of Services: Details of broker's appointment and specific services to be provided

5. Broker's Obligations: Key responsibilities and duties of the broker, including regulatory compliance requirements

6. Client's Obligations: Client's responsibilities, including provision of information and cooperation

7. Fees and Payment: Commission structure, fees, expenses, and payment terms

8. Representations and Warranties: Standard representations from both parties, including regulatory status and capacity

9. Compliance with Laws: Obligations regarding regulatory compliance, especially SFO requirements

10. Confidentiality: Provisions for handling confidential information and client data

11. Liability and Indemnification: Limitation of liability and mutual indemnification provisions

12. Term and Termination: Duration of agreement and circumstances for termination

13. General Provisions: Standard boilerplate clauses including notices, amendments, governing law

1. Schedule 1 - Fee Schedule: Detailed breakdown of all fees, commissions, and charges

2. Schedule 2 - Services Description: Detailed description of specific brokerage services offered

3. Schedule 3 - Authorized Persons: List of persons authorized to give instructions on behalf of the client

4. Schedule 4 - Risk Disclosure Statement: Required risk disclosures under Hong Kong regulations

5. Schedule 5 - Trading Rules and Procedures: Specific procedures for order placement and execution

6. Appendix A - Account Opening Form: Standard form for collecting client information

7. Appendix B - Compliance Documentation: Required regulatory forms and declarations