The Introducing Broker Agreement is essential for financial institutions operating in Hong Kong's regulated securities and futures markets. It is used when a licensed broker wishes to expand their client base through partnerships with other financial intermediaries who can refer potential clients. The agreement must comply with the Securities and Futures Ordinance (Cap. 571) and related SFC regulations, covering crucial aspects such as licensing requirements, commission arrangements, client onboarding procedures, and regulatory compliance obligations. This document is particularly important in Hong Kong's financial center where international and local firms frequently collaborate to serve diverse client bases while maintaining regulatory compliance. The agreement typically includes detailed provisions for client confidentiality, anti-money laundering procedures, and clear delineation of responsibilities between the introducing and principal brokers.
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1. Parties: Identification of the introducing broker and the principal broker, including their regulatory status and contact details
2. Background: Context of the agreement, including the intended business relationship and relevant regulatory framework
3. Definitions: Key terms used throughout the agreement, including regulatory terminology and business-specific definitions
4. Appointment and Scope: Terms of appointment of the introducing broker and detailed scope of permitted activities
5. Regulatory Compliance: Obligations regarding SFC regulations, licensing requirements, and compliance with applicable laws
6. Introducing Broker's Obligations: Specific duties including client introduction procedures, due diligence requirements, and service standards
7. Principal Broker's Obligations: Responsibilities regarding client acceptance, service provision, and support to the introducing broker
8. Commission and Payment Terms: Structure of commission payments, calculation methods, and payment procedures
9. Representations and Warranties: Standard and specific warranties regarding licensing, compliance, and capacity
10. Confidentiality: Protection of confidential information and client data, compliance with privacy laws
11. Term and Termination: Duration of the agreement and circumstances for termination
12. Indemnification: Mutual indemnification provisions and liability allocation
13. General Provisions: Standard clauses including governing law, notices, and amendment procedures
1. Non-Competition: Restrictions on competitive activities, used when exclusivity is required
2. Marketing and Branding: Guidelines for using each party's branding and marketing materials, relevant when joint marketing is contemplated
3. Training and Support: Details of training provided by principal broker, included when significant support is required
4. Insurance Requirements: Specific insurance obligations, included for high-risk activities or regulatory requirements
5. Dispute Resolution: Detailed dispute resolution procedures, included when specific arbitration or mediation processes are preferred
6. Force Majeure: Provisions for unforeseen circumstances, particularly relevant in volatile markets
7. Data Protection: Detailed data protection provisions, needed when extensive personal data processing is involved
1. Schedule 1: Commission Structure: Detailed breakdown of commission rates, tiers, and calculation methods
2. Schedule 2: Compliance Requirements: Specific regulatory requirements, reporting obligations, and compliance procedures
3. Schedule 3: Client Introduction Procedures: Step-by-step procedures for client introductions and documentation requirements
4. Schedule 4: Approved Products and Services: List of products and services the introducing broker is authorized to promote
5. Schedule 5: Due Diligence Requirements: Detailed KYC and due diligence procedures for client onboarding
6. Appendix A: Required Forms and Documents: Templates of forms and documents required for client introductions
7. Appendix B: Contact Details and Escalation Matrix: Key contact information and escalation procedures for both parties
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