The Financial Agency Agreement is a crucial document used in New Zealand's financial services sector when a financial institution (Principal) wishes to appoint another party (Agent) to act on its behalf in financial matters. This agreement is essential for businesses operating under New Zealand's financial services regulatory framework, particularly under the Financial Markets Conduct Act 2013 and related legislation. It establishes the terms under which the Agent can represent the Principal, including specific authorities, limitations, compliance requirements, and compensation structures. The agreement is particularly important for maintaining regulatory compliance, managing risk, and ensuring clear accountability in financial services relationships. It includes comprehensive provisions for regulatory compliance, operational procedures, reporting requirements, and risk management, tailored to meet New Zealand's specific legal and regulatory requirements.
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1. Parties: Identification of the Principal and Agent, including their legal status and registered addresses
2. Background: Context of the agreement, including the Principal's business and desire to appoint the Agent
3. Definitions and Interpretation: Definitions of key terms and interpretation rules
4. Appointment and Scope: Terms of appointment, territory, and scope of agency authority
5. Agent's Obligations: Core duties, regulatory compliance requirements, reporting obligations, and service standards
6. Principal's Obligations: Support, information, and resources to be provided to the Agent
7. Compliance and Regulatory Requirements: Specific obligations under NZ financial services laws and regulations
8. Compensation and Payment Terms: Commission structure, payment terms, and calculation methods
9. Confidentiality: Protection of confidential information and trade secrets
10. Intellectual Property: Ownership and usage rights of trademarks, systems, and materials
11. Record Keeping: Requirements for maintaining records and documentation
12. Liability and Indemnification: Risk allocation, insurance requirements, and indemnification provisions
13. Term and Termination: Duration, renewal, and termination provisions
14. Post-Termination Obligations: Obligations surviving termination and transition arrangements
15. General Provisions: Standard boilerplate clauses including notices, governing law, and dispute resolution
1. Sub-Agents: Terms for appointment and management of sub-agents, if permitted
2. International Operations: Additional provisions for cross-border activities
3. Specific Product Terms: Special conditions for specific financial products or services
4. Technology and Systems: Terms regarding use of proprietary systems or platforms
5. Training Requirements: Specific training and certification requirements
6. Marketing and Promotion: Terms governing marketing activities and brand usage
7. Performance Targets: Specific KPIs and performance measurement criteria
8. Data Protection: Additional privacy and data protection obligations beyond standard confidentiality
1. Schedule 1 - Services Description: Detailed description of authorized services and activities
2. Schedule 2 - Commission Structure: Detailed commission calculations and payment terms
3. Schedule 3 - Compliance Procedures: Specific compliance procedures and requirements
4. Schedule 4 - Reporting Requirements: Templates and timing for required reports
5. Schedule 5 - Territory: Detailed description of authorized territory
6. Appendix A - Required Forms: Standard forms and documentation to be used
7. Appendix B - Performance Standards: Detailed service levels and performance criteria
8. Appendix C - Contact Details: Key contact information for both parties
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