The Introducing Broker Contract is essential for regulated financial services firms operating in England and Wales who wish to establish formal referral relationships. This agreement is particularly relevant when financial institutions seek to expand their client base through third-party introducers while maintaining regulatory compliance. The contract typically includes detailed provisions on commission structures, compliance requirements, data protection obligations, and service standards. It's designed to meet FCA requirements and protect all parties' interests while facilitating business growth through structured introductions.
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1. Parties: Identification of the introducing broker and recipient firm
2. Background: Context of the agreement and business relationship
3. Definitions: Key terms used throughout the agreement including regulated activities, introduced business, and compensation terms
4. Scope of Services: Details of introduction services to be provided and any limitations
5. Regulatory Compliance: FCA requirements, compliance obligations, and regulatory representations
6. Commission Structure: Payment terms, commission calculations, and payment procedures
7. Confidentiality: Protection of confidential information and trade secrets
8. Term and Termination: Duration of agreement, termination rights, and post-termination obligations
1. Non-Solicitation: Restrictions on soliciting clients or employees - used when protecting against poaching of clients/staff
2. White Labelling: Terms for branded services - used when broker uses recipient's branded materials
3. International Provisions: Cross-border introduction terms - used when introductions involve multiple jurisdictions
1. Commission Schedule: Detailed commission rates, calculation methods, and payment terms
2. Service Level Agreement: Performance metrics, service standards, and response times
3. Compliance Procedures: Detailed compliance requirements, processes, and reporting obligations
4. Approved Introduction Script: Standard communication templates and procedures for making introductions
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