Broker Engagement Letter Template for Philippines

Create a bespoke document in minutes, or upload and review your own.

4.6 / 5

4.8 / 5

Let's create your Broker Engagement Letter

1. Select your governing law and document type:

2. Enter your key requirements:

3. Create your document to edit, review or download

Get your first 2 documents free

Your data doesn't train Genie's AI

You keep IP ownership of your information

Key Requirements PROMPT example:

Broker Engagement Letter

"I need a Broker Engagement Letter for a Manila-based securities trading firm engaging with corporate clients, including provisions for online trading platforms and international market access, with specific focus on compliance with Philippine Securities Regulation Code."

Document background

The Broker Engagement Letter is a crucial document used in the Philippines to formalize the professional relationship between a licensed broker and their client. It serves as the foundational document that defines the scope of services, compensation structure, and responsibilities of both parties. This document is essential when engaging a broker for securities trading, real estate transactions, or other regulated brokerage services in the Philippines. The letter must comply with various Philippine regulations, including the Securities Regulation Code (for securities brokers) or the Real Estate Service Act (for real estate brokers), as well as anti-money laundering laws and data privacy requirements. It typically includes detailed service descriptions, fee structures, risk disclosures, and compliance obligations, making it a vital tool for establishing clear expectations and legal protections for both the broker and the client.

Suggested Sections

1. Letter Header: Complete contact information of both parties, date, and reference number

2. Salutation and Introduction: Formal greeting and introductory paragraph establishing the purpose of the engagement

3. Scope of Services: Detailed description of brokerage services to be provided, including specific markets or asset classes covered

4. Broker's Obligations: Key responsibilities and duties of the broker, including regulatory compliance commitments

5. Client's Obligations: Requirements from the client, including information provision and cooperation

6. Fees and Commission Structure: Clear outline of all fees, commissions, and payment terms

7. Term and Termination: Duration of engagement and conditions for termination

8. Confidentiality: Obligations regarding confidential information handling

9. Compliance with Laws: Statement of compliance with relevant Philippine regulations and laws

10. Signature Block: Space for signatures, acknowledgment, and acceptance of terms

Optional Sections

1. Risk Disclosures: Required for securities brokers, detailing potential investment risks

2. Anti-Money Laundering Provisions: Additional section for high-value transactions or when required by regulations

3. Online Trading Services: Include when offering electronic trading platforms or online services

4. International Trading: Required when offering cross-border trading services

5. Client Classification: Include when dealing with different categories of investors (retail/professional)

6. Conflict Resolution: Optional detailed dispute resolution procedures

7. Force Majeure: Include when dealing with market-sensitive transactions

Suggested Schedules

1. Fee Schedule: Detailed breakdown of all applicable fees and commission structures

2. Service Level Agreement: Specific performance metrics and service standards

3. KYC Documentation Requirements: List of required client identification and verification documents

4. Risk Disclosure Statement: Detailed risk warnings and disclaimers as required by Philippine regulations

5. Trading Guidelines: Specific rules and procedures for trade execution and settlement

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

Real Estate

Securities Trading

Investment Banking

Wealth Management

Commodities Trading

Insurance Brokerage

Corporate Finance

Property Development

Asset Management

Relevant Teams

Legal

Compliance

Risk Management

Operations

Client Services

Trading

Business Development

Due Diligence

Finance

Corporate Secretariat

Relevant Roles

Broker

Compliance Officer

Legal Counsel

Risk Manager

Chief Financial Officer

Investment Advisor

Wealth Manager

Operations Manager

Client Relationship Manager

Trading Manager

Business Development Director

Corporate Secretary

Due Diligence Officer

Portfolio Manager

Managing Director

Find the exact document you need

Real Estate Agent Referral Form

A Philippine-compliant legal form establishing referral arrangements between real estate professionals, including terms, compensation, and responsibilities under RESA regulations.

How a Sales & Marketing Lead uses Genie AI to reduce contract drafting time by 95%

Let's create your Broker Engagement Letter

Authors

Alex Denne

Find the exact document you need

Real Estate Agent Referral Form

Freight Agent Contract

Exclusive Brokerage Contract

Commercial Brokerage Contract

Buyer Representation Agreement Form

Broker To Broker Referral Form

Real Estate Commission Agreement Form

Buyer Broker Agreement Form

Business Broker Agreement

Buyer Tenant Representation Agreement

Buyer Agency Agreement Form

Broker Confidentiality Agreement

Co Broker Agreement

Split Commission Agreement

Sales Broker Agreement

Rental Broker Agreement

Registration Agreement Between Brokers

Registration Agreement Between Broker And Owner

Referral Agreement Between Brokers

Real Estate Agent Independent Contractor Agreement

Non Exclusive Buyer Representation Agreement

Broker Cooperation Agreement

Broker Contract Agreement

Broker Commission Agreement

Broker Client Agreement

Broker Carrier Agreement

Broker Agent Commission Split Agreement

Agreement Between Brokers For Residential Lease

Agreement Between Brokers

Agreement Between Broker And Owner

Agent Commission Agreement

Net Brokerage Agreement

Loan Broker Agreement

Listing Agreement Between Principal And Broker

Exclusive Brokerage Listing Agreement

Cooperating Broker Commission Agreement

Introducing Broker Agreement

Commission Agreement Between Brokers

Commission Agreement Between Broker And Agent

Independent Contractor Agreement Between Broker And Associate

Independent Broker Agreement

Commission Agreement (Real Estate)

Commercial Real Estate Broker Fee Agreement

Exclusive Tenant Brokerage Agreement

Exclusive Seller Brokerage Engagement Agreement

Co Broker Agreement Trucking

Co Broker Agreement Commercial (Real Estate)

Co Broker Agreement (Real Estate)

Car Buyer Broker Agreement

Commercial Listing Agreement

Broker Shipper Agreement Packet

Broker Service Agreement

Broker Seller Agreement

Broker Salesperson Agreement

Broker Representation Agreement

Broker Referral Fee Agreement

Broker Non Circumvention Agreement

Commercial Broker Agreement

Broker Listing Agreement

Broker Lease Commission Agreement

Broker Lease Agreement

Broker Intermediary Agreement

Co Broker Listing Agreement

Broker Fee Agreement

Broker Engagement Letter

Download our whitepaper on the future of AI in Legal

Genie’s Security Promise

Your documents are private:

Your documents are protected:

Organizational security

Innovation in privacy:

Want to know more?

Commercial

Employment

IP