The Sub Broker Agreement is a crucial document in the Indian securities market that formalizes the relationship between a SEBI-registered stock broker and a sub-broker. This agreement is necessary when a registered broker wishes to expand their business reach through authorized intermediaries. The document must comply with SEBI regulations, particularly the SEBI (Stock Brokers and Sub-Brokers) Regulations, 1992, and related circulars. It defines the scope of permitted activities, compliance requirements, commission structures, and operational procedures. The agreement is essential for establishing clear lines of responsibility, risk management protocols, and client handling procedures while ensuring regulatory compliance in the Indian securities market context.
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1. Parties: Details of the Main Broker and Sub Broker, including registration numbers and addresses
2. Background: Context of the agreement, including the main broker's authority and sub-broker's intention to act as an intermediary
3. Definitions: Definitions of key terms used throughout the agreement, including regulatory terms and business-specific terminology
4. Appointment and Scope: Terms of appointment of the sub-broker and scope of permitted activities
5. Registration and Compliance: Requirements regarding SEBI registration and ongoing regulatory compliance obligations
6. Rights and Obligations: Detailed responsibilities and rights of both parties, including client handling and trading procedures
7. Commission Structure: Terms of revenue sharing and commission payments between parties
8. Client Handling: Procedures for client acquisition, KYC compliance, and ongoing client relationship management
9. Risk Management: Risk management procedures and limits to be followed by the sub-broker
10. Confidentiality: Obligations regarding confidential information and client data protection
11. Term and Termination: Duration of agreement and circumstances under which it can be terminated
12. Indemnity and Liability: Mutual indemnification clauses and limitation of liability provisions
13. Governing Law and Jurisdiction: Applicable law and jurisdiction for dispute resolution
14. Notices: Process and addresses for serving official notices between parties
1. Digital Trading Platform: Terms related to the use of electronic trading platforms, used when sub-broker will operate through online systems
2. Branch Operations: Specific terms for operating physical branches, included when sub-broker maintains physical offices
3. Training Requirements: Mandatory training obligations, included when specific certifications or training programs are required
4. Marketing and Branding: Guidelines for using the main broker's brand, included when sub-broker is permitted to use main broker's branding
5. Insurance: Insurance requirements, included when specific insurance coverage is mandatory
6. Non-Compete: Restrictions on competing activities, included when exclusivity is required
1. Schedule 1 - Commission Structure: Detailed breakdown of commission rates, sharing ratios, and payment terms
2. Schedule 2 - Operating Procedures: Detailed procedures for day-to-day operations, including trading, settlement, and reporting
3. Schedule 3 - Compliance Requirements: Specific compliance requirements, reporting formats, and regulatory obligations
4. Schedule 4 - Technology Requirements: Technical specifications for systems, connectivity, and security requirements
5. Schedule 5 - KYC and Documentation Requirements: List of required KYC documents and verification procedures
6. Appendix A - Registration Certificates: Copies of SEBI registration certificates and other regulatory approvals
7. Appendix B - Contact Details: List of key personnel and emergency contacts from both parties
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