Broker Contract Agreement Template for Hong Kong

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Key Requirements PROMPT example:

Broker Contract Agreement

"I need a Broker Contract Agreement under Hong Kong law for my securities firm to use with retail clients, including provisions for electronic trading services and margin trading, to be implemented by March 2025."

Document background

The Broker Contract Agreement is a fundamental document required for establishing formal broker-client relationships in Hong Kong's financial markets. It serves as the primary contractual framework for securities trading and related financial services, ensuring compliance with Hong Kong's regulatory requirements, particularly those set by the Securities and Futures Commission (SFC). This agreement is essential when a licensed broker begins a relationship with a new client, whether individual or institutional, and covers crucial aspects such as service scope, trading authorizations, fee structures, risk disclosures, and compliance obligations. The document must align with Hong Kong's Securities and Futures Ordinance (Cap. 571) and related regulations, providing clear guidelines for both parties while protecting their respective interests in accordance with local law.

Suggested Sections

1. Parties: Identification of the broker and the client, including their full legal names, registration numbers, and registered addresses

2. Background: Context of the agreement and brief description of the parties' intentions

3. Definitions and Interpretation: Detailed definitions of terms used throughout the agreement and rules of interpretation

4. Appointment and Scope: Terms of the broker's appointment and scope of authorized services

5. Broker's Obligations: Detailed responsibilities and duties of the broker, including compliance with SFC regulations

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

7. Fees and Commission: Structure and calculation of broker's fees, commission rates, and payment terms

8. Compliance and Regulations: Obligations regarding regulatory compliance, including SFC requirements and anti-money laundering regulations

9. Representations and Warranties: Standard declarations by both parties regarding their capacity and authority

10. Confidentiality: Obligations regarding handling of confidential information and client data

11. Risk Disclosure: Mandatory risk warnings and acknowledgments as required by Hong Kong regulations

12. Liability and Indemnification: Extent of broker's liability and mutual indemnification provisions

13. Term and Termination: Duration of the agreement and circumstances for termination

14. General Provisions: Standard clauses including notices, amendments, governing law, and dispute resolution

Optional Sections

1. Electronic Trading Services: Include when online trading platforms or electronic services are provided

2. Margin Facilities: Include when margin trading services are offered to the client

3. Foreign Securities Trading: Include when trading in foreign markets is part of the service offering

4. Nominee Services: Include when the broker provides custody or nominee services

5. Research Services: Include when the broker provides investment research to the client

6. Joint Account Provisions: Include when the account is operated jointly by multiple clients

7. Force Majeure: Include when specific force majeure provisions are required beyond standard provisions

8. Anti-corruption Compliance: Include for institutional clients or when dealing with politically exposed persons

Suggested Schedules

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

2. Schedule 2: Authorized Services: Comprehensive list of authorized trading and brokerage services

3. Schedule 3: Risk Disclosure Statements: Mandatory risk disclosures required by SFC regulations

4. Schedule 4: Account Opening Form: Client information and account details form

5. Schedule 5: Trading Rules and Procedures: Detailed operational procedures and trading rules

6. Appendix A: Power of Attorney: Optional form for clients authorizing third-party operation of the account

7. Appendix B: Electronic Trading Terms: Terms and conditions specific to electronic trading platforms

8. Appendix C: Margin Client Agreement: Additional terms for margin trading services if applicable

Authors

Alex Denne

Head of Growth (Open Source Law) @ Genie AI | 3 x UCL-Certified in Contract Law & Drafting | 4+ Years Managing 1M+ Legal Documents | Serial Founder & Legal AI Author

alex.den.21@genieai.co

Relevant legal definitions

Clauses

Relevant Industries

Financial Services

Securities Trading

Investment Banking

Asset Management

Wealth Management

Corporate Finance

Private Banking

Retail Banking

Insurance Broking

Commodity Trading

Relevant Teams

Legal

Compliance

Operations

Trading

Client Relations

Risk Management

Account Management

Business Development

Corporate Affairs

Internal Audit

Relevant Roles

Compliance Officer

Legal Counsel

Broker-Dealer

Securities Trader

Account Manager

Risk Manager

Operations Manager

Client Relations Manager

Financial Advisor

Investment Consultant

Chief Executive Officer

Chief Operating Officer

Chief Compliance Officer

Head of Legal

Head of Trading

Head of Operations

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Authors

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