Sub Broker Agreement Template for Indonesia

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Key Requirements PROMPT example:

Sub Broker Agreement

"I need a Sub Broker Agreement for my securities firm in Jakarta to appoint a regional sub-broker in Surabaya, with specific provisions for online trading platforms and a revenue-sharing model based on transaction volume."

Document background

The Sub Broker Agreement is a crucial document used in the Indonesian securities market when a licensed securities broker wishes to expand its distribution network through appointed sub-brokers. This agreement is essential for establishing clear operational frameworks, ensuring regulatory compliance, and managing risk in broker-sub broker relationships. The document must comply with Indonesian capital market regulations, particularly OJK requirements and the Capital Market Law. It typically includes detailed provisions on trading authorizations, commission structures, compliance obligations, risk management procedures, and reporting requirements. The agreement is particularly important in the context of Indonesia's growing securities market, where proper documentation of intermediary relationships is crucial for regulatory oversight and risk management.

Suggested Sections

1. Parties: Identification of the primary broker and sub-broker, including licensing details and registered addresses

2. Background: Context of the agreement, including the primary broker's authority and intention to appoint sub-broker

3. Definitions: Key terms used throughout the agreement, including regulatory terminology

4. Appointment and Scope: Terms of sub-broker appointment and authorized activities

5. License and Regulatory Compliance: Requirements for maintaining necessary licenses and regulatory compliance

6. Duties and Responsibilities: Detailed obligations of both parties, including reporting requirements

7. Commission Structure: Terms of compensation and payment procedures

8. Compliance with Laws: Obligations to comply with capital market laws, OJK regulations, and AML requirements

9. Representations and Warranties: Standard declarations regarding capacity, authority, and compliance

10. Confidentiality: Protection of confidential information and trade secrets

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

12. Indemnification: Mutual indemnification provisions for losses and claims

13. Dispute Resolution: Procedures for resolving disputes, including jurisdiction and governing law

14. General Provisions: Standard boilerplate clauses including notices, amendments, and assignment

Optional Sections

1. Non-Competition: Restrictions on competing activities, used when exclusivity is required

2. Training Requirements: Specific training obligations, included when the primary broker provides training

3. Performance Targets: Specific performance metrics and consequences, used for performance-based arrangements

4. Marketing and Branding: Rules for using the primary broker's brand, included when brand usage is permitted

5. Insurance Requirements: Specific insurance coverage requirements, used for high-risk activities

6. Technology and Systems: Terms for using broker's trading platforms and systems, included when technology access is provided

7. Business Continuity: Disaster recovery and business continuity requirements, for critical business relationships

Suggested Schedules

1. Commission Schedule: Detailed breakdown of commission rates and calculation methods

2. Compliance Manual: Detailed compliance procedures and requirements

3. Operating Procedures: Step-by-step procedures for daily operations and transactions

4. Required Documentation: List of documents required for client onboarding and transactions

5. Authorized Personnel: List of authorized representatives and their authority levels

6. Product Schedule: List of authorized products and services the sub-broker can offer

7. Technology Specifications: Technical requirements and procedures for system access

8. Risk Management Procedures: Detailed risk management and control procedures

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

Wealth Management

Capital Markets

Financial Technology

Asset Management

Corporate Finance

Relevant Teams

Legal

Compliance

Risk Management

Operations

Trading

Business Development

Regulatory Affairs

Finance

Client Relations

Internal Audit

Relevant Roles

Securities Broker

Compliance Officer

Legal Counsel

Risk Manager

Operations Director

Chief Executive Officer

Relationship Manager

Trading Manager

Business Development Manager

Regulatory Affairs Officer

Chief Operating Officer

Investment Advisor

Financial Controller

Branch Manager

Find the exact document you need

Broker Contract

An Indonesian law-governed agreement establishing terms and conditions for brokerage services, including commission structure and compliance requirements.

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Authors

Alex Denne

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