A Mortgage Broker Contract is essential for establishing professional relationships in mortgage intermediary services under English and Welsh law. This document is used when a licensed mortgage broker begins working with a new client, whether individual or corporate, to secure mortgage financing. The contract ensures compliance with FCA regulations, outlines service scope, fee structures, and responsibilities of both parties. It includes crucial elements such as data protection provisions, regulatory disclosures, and complaint handling procedures, while protecting both parties' interests in accordance with UK financial services legislation.
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1. Parties: Identification of the mortgage broker and client
2. Background: Context of the agreement and broker's regulatory status
3. Definitions: Key terms used throughout the agreement
4. Services: Scope of mortgage broking services to be provided
5. Fees and Charges: Broker's compensation structure and payment terms
6. Obligations of the Broker: Broker's duties, responsibilities and regulatory compliance
7. Client's Obligations: Client's responsibilities and information provision requirements
8. Confidentiality: Treatment of confidential information
9. Term and Termination: Duration and termination provisions
1. Commission Disclosure: Details of lender commissions - include when receiving commission from lenders
2. Insurance Services: Additional insurance broking provisions - include when offering insurance products
3. Sub-contractors: Terms for use of sub-contractors - include when using third-party services
1. Schedule of Services: Detailed breakdown of services offered
2. Fee Schedule: Detailed fee structure and payment terms
3. Privacy Notice: Detailed data protection provisions
4. Regulatory Disclosures: Required FCA disclosures and statements
5. Complaints Procedure: Details of complaints handling process
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