The Financial Services Agreement serves as the foundational document governing the relationship between financial service providers and their clients in Hong Kong. It is essential for any licensed institution providing regulated financial services under Hong Kong's regulatory regime. The agreement encompasses crucial elements including service scope, regulatory compliance requirements, risk disclosures, fee structures, and operational procedures. It must align with Hong Kong Monetary Authority (HKMA) and Securities and Futures Commission (SFC) regulations, while also addressing data privacy, anti-money laundering, and counter-terrorist financing obligations. This document is typically required when establishing new client relationships or updating existing service arrangements to reflect current regulatory requirements and market practices in Hong Kong's financial sector.
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1. Parties: Identification of the financial service provider and the client, including licensing and registration details
2. Background: Context of the agreement, relationship background, and general purpose of the services
3. Definitions and Interpretation: Comprehensive definitions of terms used throughout the agreement and interpretation rules
4. Appointment and Scope: Formal appointment of the service provider and detailed scope of services
5. Regulatory Status and Compliance: Statements regarding regulatory status, licenses, and compliance obligations
6. Client Representations and Warranties: Client's confirmations regarding their status, capacity, and understanding of risks
7. Service Provider Obligations: Detailed obligations and duties of the financial service provider
8. Client Instructions and Communications: Procedures for giving instructions and maintaining communications
9. Fees and Payment Terms: Fee structure, payment terms, and related expenses
10. Anti-Money Laundering and KYC: AML/CTF obligations and know-your-client requirements
11. Confidentiality and Data Protection: Obligations regarding confidential information and personal data handling
12. Liability and Indemnification: Limitation of liability and mutual indemnification provisions
13. Term and Termination: Duration of agreement and termination provisions
14. Governing Law and Jurisdiction: Hong Kong law as governing law and jurisdiction provisions
1. Electronic Services: Terms for electronic/online service delivery, required if platform or online services are provided
2. Sub-delegation: Terms for delegation to affiliates or third parties, needed if services may be delegated
3. Cross-Border Provisions: Additional terms for cross-border services, required for international clients
4. Research Services: Terms for providing investment research, if applicable
5. Margin Requirements: Terms for margin trading services, if offered
6. Corporate Actions: Procedures for handling corporate actions, required for custody services
7. Force Majeure: Provisions for unforeseen circumstances, recommended for comprehensive agreements
1. Schedule 1 - Services Description: Detailed description of specific financial services provided
2. Schedule 2 - Fee Schedule: Comprehensive fee structure and calculation methods
3. Schedule 3 - Risk Disclosure Statement: Mandatory risk disclosures required by Hong Kong regulations
4. Schedule 4 - Authorized Persons: List of authorized representatives and signing authorities
5. Schedule 5 - Service Levels: Specific service levels and performance metrics
6. Appendix A - Account Opening Forms: Required account opening documentation and forms
7. Appendix B - Regulatory Disclosures: Additional regulatory disclosures and notices
8. Appendix C - Data Privacy Notice: Detailed privacy policy and personal data handling procedures
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