Broker Agreement for Singapore

Broker Agreement Template for Singapore

A comprehensive legal agreement governed by Singapore law that establishes the terms and conditions between a licensed broker and their client. The document outlines the scope of services, commission structures, regulatory compliance requirements under Singapore's Securities and Futures Act (SFA) and Financial Advisers Act (FAA), and the respective obligations of both parties. It incorporates specific provisions required by the Monetary Authority of Singapore (MAS) and addresses risk management, client money handling, and data protection requirements.

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What is a Broker Agreement?

The Broker Agreement serves as the foundational document governing the professional relationship between licensed brokers and their clients in Singapore. This agreement is essential for compliance with Singapore's regulatory framework, particularly the Securities and Futures Act and MAS requirements. The document typically covers service scope, commission structures, compliance obligations, risk disclosures, and operational procedures. A well-structured Broker Agreement is crucial for establishing clear expectations and protecting both parties' interests while ensuring regulatory compliance.

What sections should be included in a Broker Agreement?

1. Parties: Identification of broker and client, including registration details and licenses

2. Background: Context of the agreement and relationship between parties

3. Definitions: Key terms used throughout the agreement

4. Appointment and Scope: Terms of broker appointment and services to be provided

5. Broker Obligations: Duties, responsibilities, and standard of service

6. Client Obligations: Client responsibilities and commitments

7. Fees and Commission: Payment terms, commission structure, and expenses

8. Compliance: Regulatory compliance requirements and obligations

9. Term and Termination: Duration and termination provisions

What sections are optional to include in a Broker Agreement?

1. Non-Competition: Restrictions on competitive activities when exclusivity is required

2. White Labeling: Terms for rebranding services when broker services will be white-labeled

3. Technology Services: Terms for trading platform or technology provision when electronic trading platforms are provided

4. Research Services: Terms for providing research and analysis when research services are included

What schedules should be included in a Broker Agreement?

1. Fee Schedule: Detailed commission rates and fee structures

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

3. Compliance Requirements: Detailed regulatory requirements and procedures

4. Account Opening Forms: Standard forms for client onboarding

5. Risk Disclosure Statement: Required risk disclosures under Singapore law

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

Cost

Free to use

Relevant legal definitions

Clauses

Relevant Industries

Financial Services
Insurance
Real Estate
Commodities

Relevant Teams

Legal
Compliance
Operations
Risk Management
Client Services
Finance

Relevant Roles

Chief Executive Officer
Compliance Officer
Legal Counsel
Chief Operating Officer
Relationship Manager

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What is a Broker Agreement?

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What sections are optional to include in a Broker Agreement?

What schedules should be included in a Broker Agreement?

Authors

Alex Denne

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