The Broker Dealer Agreement serves as the primary contractual framework for establishing and governing relationships between registered broker-dealers and their clients in the Canadian financial markets. This document is essential when a broker-dealer begins providing trading, execution, or related financial services to new clients, whether institutional or retail. The agreement must comply with federal securities regulations, provincial securities laws, and IIROC requirements, incorporating mandatory disclosures, risk warnings, and operational procedures. It covers crucial aspects such as trading authorization, account management, fee structures, compliance obligations, and reporting requirements, while addressing specific Canadian regulatory requirements including anti-money laundering provisions and privacy laws.
Your data doesn't train Genie's AI
You keep IP ownership of your information
Thank you! Your submission has been received!
Oops! Something went wrong while submitting the form.
OR
Let Genie AI's market-leading legal AI identify missing terms, unusual language, compliance issues and more - in just seconds.
1. Parties: Identification of the broker-dealer and the client, including registration details and regulatory status
2. Background: Context of the agreement and relationship between parties
3. Definitions: Defined terms used throughout the agreement
4. Scope of Services: Detailed description of brokerage and dealing services to be provided
5. Registration and Regulatory Compliance: Confirmation of regulatory status and compliance obligations
6. Client Obligations: Client's responsibilities, including information provision and regulatory compliance
7. Trading Authorization and Procedures: Trading parameters, execution procedures, and authorization levels
8. Fees and Compensation: Fee structure, commissions, and payment terms
9. Risk Disclosure: Mandatory risk warnings and disclosures
10. Account Management: Account opening, maintenance, and closing procedures
11. Reporting Requirements: Trade confirmations, account statements, and other required reports
12. Confidentiality: Protection of confidential information and trade secrets
13. Anti-Money Laundering Compliance: AML procedures and requirements
14. Representations and Warranties: Standard and regulatory-specific representations
15. Indemnification: Mutual indemnification provisions
16. Term and Termination: Duration, renewal, and termination provisions
17. Governing Law and Jurisdiction: Choice of law and dispute resolution procedures
18. General Provisions: Standard boilerplate clauses
1. Electronic Trading Services: Terms for electronic trading platforms and services, include if online trading is offered
2. Research Services: Terms relating to provision of research services, if applicable
3. Margin Trading: Terms for margin trading services, if offered
4. Options Trading: Specific terms for options trading, if this service is provided
5. Foreign Exchange Services: Terms for FX trading services, if offered
6. Institutional Client Terms: Additional terms specific to institutional clients, if applicable
7. Algorithmic Trading: Terms for algorithmic trading services, if offered
8. Data Protection: Additional privacy and data protection terms, if handling EU/UK clients or upon client request
1. Schedule A - Fee Schedule: Detailed breakdown of all fees, commissions, and charges
2. Schedule B - Trading Parameters: Specific trading limits, restricted securities, and execution parameters
3. Schedule C - Authorized Persons: List of authorized traders and their permissions
4. Schedule D - Account Opening Forms: Standard account opening documentation and KYC forms
5. Schedule E - Risk Disclosure Statement: Detailed risk disclosures required by regulations
6. Schedule F - Electronic Trading Terms: Detailed terms for electronic trading platforms
7. Appendix 1 - Compliance Procedures: Detailed compliance procedures and requirements
8. Appendix 2 - Required Regulatory Disclosures: Mandatory disclosures required by IIROC and securities regulations
Authors
Relevant legal definitions
Clauses
Relevant Industries
Financial Services
Investment Banking
Securities Trading
Wealth Management
Asset Management
Capital Markets
Financial Technology
Investment Management
Private Banking
Institutional Banking
Relevant Teams
Legal
Compliance
Trading Operations
Risk Management
Client Services
Account Management
Regulatory Affairs
Business Development
Operations
Investment Advisory
Documentation
Relevant Roles
Chief Compliance Officer
Legal Counsel
Compliance Manager
Trading Operations Manager
Risk Manager
Account Manager
Relationship Manager
Securities Trader
Investment Advisor
Operations Director
Chief Legal Officer
Regulatory Affairs Director
Business Development Manager
Client Services Manager
Find the exact document you need
Estate Agency Contract
A Canadian-compliant contract establishing the terms and conditions of a professional relationship between a real estate agent/brokerage and their client.
find out more
Employment Contract For Real Estate Agent
A Canadian-compliant employment contract between a real estate brokerage and agent, outlining terms, commissions, and professional obligations.
find out more
Real Estate Broker Contract With Seller
A Canadian-compliant agreement between a property seller and real estate brokerage defining the terms and conditions for listing and selling real estate.
find out more
Standard Broker Agreement
A Canadian-law governed agreement establishing the relationship between a broker and client for securities trading and financial services, complying with IIROC regulations.
find out more
Sponsorship Broker Agreement
A Canadian-law governed agreement establishing terms between a sponsorship broker and client for securing and managing sponsorship arrangements.
find out more
Time Brokerage Agreement
A Canadian-law governed agreement where a broker purchases broadcast time from a licensed station to provide programming and sell advertising, subject to CRTC regulations.
find out more
Real Estate Agent Partnership Agreement
A Canadian-compliant partnership agreement between real estate agents establishing terms of collaboration and operational procedures.
find out more
Sub Broker Agreement
A Canadian-law governed agreement establishing the terms and conditions for a sub-broker to conduct business under a primary broker's authority.
find out more
Mortgage Broker Contract
A Canadian-compliant agreement establishing the terms and conditions between a mortgage broker and client for mortgage brokerage services.
find out more
Freight Agent Contract
A Canadian-law governed agreement establishing the terms and conditions between a freight company and its independent freight agent, including operational scope, compensation, and compliance requirements.
find out more
Commercial Loan Broker Agreement
A Canadian jurisdiction agreement governing the terms and conditions between a commercial loan broker and business client for securing commercial financing, including services, compensation, and regulatory compliance.
find out more
Commercial Brokerage Contract
A Canadian-law governed agreement establishing terms and conditions for commercial brokerage services, including scope, compensation, and regulatory compliance requirements.
find out more
Buyer Listing Agreement
A Canadian real estate contract establishing an exclusive relationship between a buyer and brokerage for property purchase assistance.
find out more
Business Broker Engagement Agreement
A Canadian-law governed agreement establishing terms between a business broker and client for the professional marketing and sale of a business.
find out more
Buyer Tenant Representation Agreement
A Canadian legal agreement establishing professional representation for commercial tenants seeking to lease property through a real estate brokerage.
find out more
Buyer Agent Commission Agreement
A Canadian-compliant agreement establishing commission terms and agency relationship between a real estate agent/brokerage and property buyer.
find out more
Business Broker Listing Agreement
A Canadian jurisdiction agreement establishing terms between a business broker and business owner for the marketing and sale of a business.
find out more
Broker Dealer Contract
A Canadian-law governed agreement establishing terms for broker-dealer services, including trading, execution, and clearing services, in compliance with IIROC and provincial securities regulations.
find out more
Business Broker NDA
A Canadian-compliant confidentiality agreement for business brokers and related parties involved in business sale transactions.
find out more
Broker Confidentiality Agreement
A Canadian-law governed confidentiality agreement for protecting sensitive information shared between brokers and their clients, compliant with federal and provincial privacy regulations.
find out more
Real Estate Agent Agreement Contract
A Canadian-compliant agreement establishing the terms and conditions between a real estate agent/brokerage and their client for property-related services.
find out more
Co Broker Agreement
A Canadian-compliant agreement establishing cooperation terms and commission sharing between real estate brokerages.
find out more
Buyer Broker Agreement
A Canadian-compliant agreement establishing the professional relationship between a property buyer and real estate brokerage firm, outlining services, obligations, and compensation terms.
find out more
Wholesale Broker Agreement
A Canadian-law governed agreement establishing the relationship between a wholesale broker and introducing broker for securities trading and clearing services.
find out more
Transaction Broker Agreement
A Canadian-law governed agreement establishing the terms for transaction brokerage services, including scope, compensation, and regulatory compliance requirements.
find out more
Tenant Broker Agreement
A Canadian-law governed agreement establishing terms between a commercial tenant and real estate broker for property search and lease negotiation services.
find out more
Split Commission Agreement
A Canadian-law governed agreement that establishes terms for sharing sales commissions between multiple parties, defining split percentages, payment terms, and mutual obligations.
find out more
Seller Listing Agreement
A Canadian legal agreement between a property seller and real estate brokerage establishing terms for property listing and sale services.
find out more
Sales Broker Agreement
A Canadian-law governed agreement establishing terms and conditions between a principal company and sales broker for product/service representation and sales.
find out more
Rental Broker Agreement
A Canadian legal agreement establishing terms between a property owner and rental broker for property leasing services, compliant with provincial real estate regulations.
find out more
Real Estate Broker Of Record Agreement
A Canadian regulatory compliance agreement appointing a licensed broker as the broker of record for a real estate brokerage company, establishing duties, responsibilities, and terms of engagement.
find out more
Real Estate Broker Fee Agreement
A Canadian-compliant agreement establishing the terms, conditions, and fee structure between a real estate broker and their client for property-related services.
find out more
Real Estate Broker Agreement
A Canadian-compliant agreement establishing the terms and conditions between a real estate broker and their client, governed by provincial real estate regulations.
find out more
Real Estate Agent Rental Agreement
A Canadian legal agreement between property owners and real estate agents establishing terms for rental property services and commission structures under provincial regulations.
find out more
Real Estate Agent Independent Contractor Agreement
Canadian independent contractor agreement between a real estate brokerage and agent, establishing terms of service and commission structure while ensuring regulatory compliance.
find out more
Real Estate Agent Agreement
A Canadian-compliant agreement establishing the terms and conditions between a real estate agent/brokerage and their client for property transaction services.
find out more
Non Exclusive Buyer Broker Agreement
A Canadian real estate agreement establishing a non-exclusive relationship between a property buyer and broker, outlining services and terms while allowing the buyer to work with multiple brokers.
find out more
Non Exclusive Broker Agreement
A Canadian-law governed agreement establishing a non-exclusive relationship between a property owner and a broker, allowing engagement of multiple brokers while protecting all parties' interests.
find out more
Broker Dealer Selling Agreement
A Canadian-law governed agreement establishing terms for broker-dealer product distribution arrangements, ensuring compliance with federal and provincial securities regulations.
find out more
Broker Dealer Agreement
Canadian broker-dealer agreement establishing terms for trading and financial services, compliant with federal and provincial securities regulations.
find out more
ұԾ’s Security Promise
Genie is the safest place to draft. Here’s how we prioritise your privacy and security.
Your documents are private:
We do not train on your data; ұԾ’s AI improves independently
All data stored on Genie is private to your organisation
Your documents are protected:
Your documents are protected by ultra-secure 256-bit encryption
We are ISO27001 certified, so your data is secure
Organizational security:
You retain IP ownership of your documents and their information
You have full control over your data and who gets to see it
.png)