Client Agreement Contract for Hong Kong

Client Agreement Contract Template for Hong Kong

A comprehensive legal agreement governed by Hong Kong law that establishes the terms and conditions between a financial service provider and its clients. This document complies with Hong Kong regulatory requirements, particularly those set by the Securities and Futures Commission (SFC), and covers essential aspects such as service scope, obligations, risk disclosures, fees, and data protection. It incorporates mandatory provisions required by Hong Kong legislation while providing flexibility to accommodate various financial services and client categories.

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What is a Client Agreement Contract?

The Client Agreement Contract serves as the foundational document governing the relationship between financial service providers and their clients in Hong Kong. It is essential for any entity providing regulated financial services under Hong Kong's Securities and Futures Ordinance (Cap. 571) and must comply with the Securities and Futures Commission's requirements. The document outlines the terms of service, risk disclosures, client categorization, fee structures, and regulatory obligations. It is particularly crucial for financial institutions, investment firms, and professional service providers who need to ensure their client relationships are properly documented and compliant with Hong Kong regulations. The agreement typically includes provisions for various service types, from basic advisory to complex trading arrangements, and can be customized based on client classification (retail vs. professional investors) while maintaining regulatory compliance.

What sections should be included in a Client Agreement Contract?

1. Parties: Identifies and provides full details of the contracting parties including registration numbers and addresses

2. Background: Explains the context of the agreement and the parties' intentions

3. Definitions and Interpretation: Defines key terms used throughout the agreement and sets out interpretation rules

4. Scope of Services: Detailed description of services to be provided and any limitations

5. Client Representations and Warranties: Client's confirmations about their status, capacity, and understanding of risks

6. Service Provider Obligations: Details of the service provider's duties, standards of service, and compliance commitments

7. Fees and Payment Terms: Structure and timing of fees, expenses, and payment obligations

8. Instructions and Communications: Methods and protocols for giving instructions and communications between parties

9. Confidentiality: Obligations regarding confidential information handling and protection

10. Data Privacy and Protection: Compliance with PDPO and handling of personal data

11. Risk Disclosures: Mandatory risk warnings and disclosures as required by regulations

12. Liability and Indemnification: Extent of liability, limitations, and indemnification obligations

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

14. Governing Law and Jurisdiction: Specification of Hong Kong law and jurisdiction for disputes

15. General Provisions: Standard boilerplate clauses including force majeure, notices, and amendments

What sections are optional to include in a Client Agreement Contract?

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

2. Margin Requirements: Required for margin trading services

3. Custody Services: Include when offering custody or safekeeping of client assets

4. Joint Account Provisions: Required when the agreement covers joint account holders

5. Third Party Authorization: Include when allowing third party operators or authorization

6. Foreign Exchange Services: Required when offering forex trading or related services

7. Research Services: Include when providing investment research services

8. Professional Investor Treatment: Required when client qualifies as a professional investor

9. Specific Product Terms: Include for specific investment products like derivatives or structured products

What schedules should be included in a Client Agreement Contract?

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

2. Schedule 2: Service Level Details: Specific details of service levels, response times, and performance metrics

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

4. Schedule 4: Personal Data Collection Statement: Detailed privacy policy and personal data handling procedures

5. Schedule 5: Electronic Trading Terms: Specific terms and conditions for electronic trading services

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

7. Appendix B: Authorization Forms: Standard forms for various client authorizations

8. Appendix C: Product Specific Terms: Terms and conditions specific to particular investment products

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

Cost

Free to use

Relevant legal definitions

Clauses

Relevant Industries

Financial Services

Banking

Investment Management

Wealth Management

Securities Trading

Asset Management

Corporate Advisory

Insurance

Fintech

Professional Services

Fund Management

Private Equity

Venture Capital

Family Office Services

Relevant Teams

Legal

Compliance

Risk Management

Client Services

Operations

Business Development

Account Management

Trading

Product Development

Investment Advisory

Wealth Management

Portfolio Management

Documentation

Relevant Roles

Compliance Officer

Legal Counsel

Risk Manager

Relationship Manager

Investment Advisor

Portfolio Manager

Operations Manager

Client Services Director

Chief Operating Officer

Chief Legal Officer

Chief Compliance Officer

Business Development Manager

Account Manager

Financial Advisor

Trading Manager

Product Manager

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What is a Client Agreement Contract?

What sections should be included in a Client Agreement Contract?

What sections are optional to include in a Client Agreement Contract?

What schedules should be included in a Client Agreement Contract?

Authors

Alex Denne

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