The Net Brokerage Agreement serves as the primary contractual framework for securities trading relationships in Hong Kong's financial markets. This document is essential when establishing a formal trading relationship between a licensed securities broker and their clients, whether individual or institutional. It comprehensively addresses key aspects including commission structures, trading procedures, risk management, and regulatory compliance requirements under Hong Kong's Securities and Futures Ordinance. The agreement is specifically designed to comply with Hong Kong regulatory requirements, including SFC regulations and HKEX trading rules, while providing flexibility for various trading scenarios and market practices. It includes mandatory risk disclosures, client classification provisions, and specific terms for electronic trading platforms, making it suitable for modern trading environments while maintaining regulatory compliance.
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1. Parties: Identification of the licensed broker and the client, including registration/license numbers and contact details
2. Background: Context of the agreement, broker's licensing status, and general purpose of the arrangement
3. Definitions: Key terms used throughout the agreement, including market-specific and regulatory terminology
4. Appointment and Scope of Services: Formal appointment of broker and detailed description of brokerage services to be provided
5. Client Instructions and Trading: Procedures for placing orders, execution policies, and trading parameters
6. Fees and Commissions: Structure of brokerage fees, commission rates, and payment terms
7. Account Operation: Rules for account management, deposits, withdrawals, and maintenance
8. Client Obligations: Client's responsibilities, including providing accurate information and maintaining sufficient funds
9. Broker's Rights and Obligations: Broker's duties, standard of service, and regulatory compliance obligations
10. Risk Disclosure: Mandatory risk warnings and disclosures as required by SFC regulations
11. Representations and Warranties: Standard declarations by both parties regarding capacity, authority, and compliance
12. Compliance and AML: Anti-money laundering provisions and regulatory compliance requirements
13. Confidentiality: Protection of client information and trade data
14. Termination: Conditions and procedures for ending the brokerage relationship
15. General Provisions: Standard clauses including notices, amendments, governing law, and jurisdiction
1. Online Trading Services: Terms specific to electronic trading platforms and online services, include if offering digital trading
2. Margin Trading: Terms for margin financing and related requirements, include if offering margin trading services
3. Foreign Securities Trading: Additional terms for trading in overseas markets, include if offering international trading
4. Research Services: Terms relating to provision of research and analysis, include if offering research services
5. Custodian Services: Terms for safekeeping of client securities, include if offering custody services
6. Joint Account Provisions: Special terms for joint accounts, include if allowing joint accounts
7. Professional Investor Treatment: Special terms for professional investors, include if client qualifies as a professional investor
1. Schedule 1: Fee Schedule: Detailed breakdown of all fees, commissions, and charges
2. Schedule 2: Risk Disclosure Statements: Comprehensive risk disclosures required by SFC regulations
3. Schedule 3: Trading Rules and Procedures: Detailed trading procedures, cut-off times, and settlement requirements
4. Schedule 4: Markets and Products: List of available markets and financial products for trading
5. Schedule 5: Electronic Trading Terms: Detailed terms and conditions for electronic trading services
6. Appendix A: Account Opening Form: Standard form for collecting client information and preferences
7. Appendix B: Standing Authorities: Required client authorizations for account operation
8. Appendix C: Compliance Declarations: Required regulatory declarations and acknowledgments
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