The Master Broker Agreement is a fundamental document required for establishing and governing the relationship between licensed stock brokers and their clients in India. This agreement is essential for compliance with SEBI (Securities and Exchange Board of India) regulations and various Indian securities market requirements. It encompasses comprehensive terms for securities trading, including account operation, trading rights, risk disclosures, and regulatory compliance obligations. The document is designed to meet the requirements of the Securities Contracts (Regulation) Act, SEBI guidelines, and relevant exchange regulations, while providing flexibility to accommodate both retail and institutional clients. The Master Broker Agreement serves as the primary contract governing all trading activities and related services provided by the broker to their clients in Indian financial markets.
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1. Parties: Identification of the contracting parties - the broker and the client
2. Background: Context of the agreement, including broker's registration details and regulatory status
3. Definitions: Key terms used throughout the agreement, including regulatory and market-specific terminology
4. Scope of Services: Detailed description of broking services to be provided
5. Regulatory Compliance: Obligations regarding SEBI regulations, exchange rules, and other applicable laws
6. Client Obligations: Client's responsibilities, including providing accurate information and maintaining minimum balances
7. Broker Obligations: Broker's duties, responsibilities, and service standards
8. Trading and Execution: Terms governing order placement, execution, and trade confirmation
9. Fees and Commissions: Detailed fee structure, brokerage rates, and payment terms
10. Risk Disclosure: Mandatory risk warnings and acknowledgments
11. Account Operations: Procedures for account management, funds transfer, and settlements
12. Default and Consequences: Events of default and resulting actions
13. Termination: Conditions and procedures for terminating the agreement
14. Confidentiality: Protection of confidential information and trade secrets
15. Dispute Resolution: Procedures for handling disputes, including arbitration provisions
16. Governing Law: Specification of Indian law as governing law and jurisdiction
1. Electronic Trading Platform: Terms specific to electronic trading services, required if online trading is offered
2. Research Services: Terms governing research and advisory services, if provided
3. Margin Trading: Specific terms for margin trading facilities, if offered
4. Sub-broker Arrangements: Terms regarding sub-broker relationships, if applicable
5. International Trading: Provisions for international market access, if offered
6. Portfolio Management: Terms for additional portfolio management services, if provided
7. Algorithm Trading: Specific terms for algorithmic trading facilities, if offered
8. Institutional Client Provisions: Special terms applicable to institutional clients
1. Schedule 1 - Fee Schedule: Detailed breakdown of all fees, charges, and commission structures
2. Schedule 2 - Trading Rules: Specific trading rules, including order types and execution policies
3. Schedule 3 - Risk Disclosure Document: Mandatory risk disclosure as per SEBI requirements
4. Schedule 4 - KYC Requirements: Documentation and information requirements for client onboarding
5. Schedule 5 - Exchange Specifications: List of exchanges and segments where trading is permitted
6. Schedule 6 - Technical Requirements: Technical specifications for electronic trading systems
7. Appendix A - Power of Attorney: Standard POA format for operating client account
8. Appendix B - Declaration Forms: Standard declarations and confirmations required from clients
Relevant legal definitions
Account
Applicable Law
Authorized Person
Board
Brokerage
Business Day
Clearing Corporation
Client Code
Client ID
Closing Price
Compliance Officer
Contract Note
Custodian
Demat Account
Depositories
Depository Participant
Electronic Trading Platform
Exchange
Exchange Rules
FATCA
Financial Year
Force Majeure
Governing Law
Initial Margin
KYC
Margin
Market Price
Market Regulator
Member Client Agreement
NSE
BSE
Order
POA
Portfolio
Risk Disclosure Document
SEBI
Securities
Settlement
Settlement Cycle
Stock Exchange
Sub-broker
System
Trading Day
Trading Member
Trading Password
Trading Session
Transaction
Transfer
Unique Client Code
User ID
Working Day
Applicable Law
Authorized Person
Board
Brokerage
Business Day
Clearing Corporation
Client Code
Client ID
Closing Price
Compliance Officer
Contract Note
Custodian
Demat Account
Depositories
Depository Participant
Electronic Trading Platform
Exchange
Exchange Rules
FATCA
Financial Year
Force Majeure
Governing Law
Initial Margin
KYC
Margin
Market Price
Market Regulator
Member Client Agreement
NSE
BSE
Order
POA
Portfolio
Risk Disclosure Document
SEBI
Securities
Settlement
Settlement Cycle
Stock Exchange
Sub-broker
System
Trading Day
Trading Member
Trading Password
Trading Session
Transaction
Transfer
Unique Client Code
User ID
Working Day
Clauses
Appointment
Scope of Services
Regulatory Compliance
Client Representation
Account Operation
Trading Rights
Order Execution
Settlement
Margin Requirements
Fees and Charges
Risk Disclosure
Default
Termination
Force Majeure
Confidentiality
Data Protection
Electronic Trading
Sub-broking
Power of Attorney
Indemnification
Limitation of Liability
Assignment
Notices
Amendment
Severability
Dispute Resolution
Governing Law
Entire Agreement
Anti-Money Laundering
Record Keeping
Reports and Statements
Client Obligations
Broker Obligations
Market Access
Risk Management
Technical Requirements
Service Level
Intellectual Property
Authorization
Representations and Warranties
Scope of Services
Regulatory Compliance
Client Representation
Account Operation
Trading Rights
Order Execution
Settlement
Margin Requirements
Fees and Charges
Risk Disclosure
Default
Termination
Force Majeure
Confidentiality
Data Protection
Electronic Trading
Sub-broking
Power of Attorney
Indemnification
Limitation of Liability
Assignment
Notices
Amendment
Severability
Dispute Resolution
Governing Law
Entire Agreement
Anti-Money Laundering
Record Keeping
Reports and Statements
Client Obligations
Broker Obligations
Market Access
Risk Management
Technical Requirements
Service Level
Intellectual Property
Authorization
Representations and Warranties
Relevant Industries
Financial Services
Investment Banking
Securities Trading
Wealth Management
Asset Management
Corporate Finance
Banking
Insurance
Investment Advisory
FinTech
Relevant Teams
Legal
Compliance
Risk Management
Operations
Trading
Client Services
Business Development
Regulatory Affairs
Account Management
Documentation
Relevant Roles
Chief Compliance Officer
Legal Counsel
Compliance Manager
Risk Manager
Operations Director
Trading Manager
Client Relationship Manager
Business Development Manager
Chief Operating Officer
Head of Trading
Head of Operations
Legal Director
Regulatory Affairs Manager
Account Manager
Chief Risk Officer
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