The Brokerage Contract is essential for formalizing the relationship between licensed brokers and their clients in India. This document is required when engaging in securities trading, real estate transactions, or other brokerage services within Indian jurisdiction. It must comply with various regulatory frameworks, including the Securities Contracts (Regulation) Act, 1956, SEBI regulations, and the Indian Contract Act, 1872. The contract covers crucial aspects such as service scope, fee structures, compliance requirements, and risk disclosures. It's particularly important for protecting both parties' interests and ensuring regulatory compliance in Indian financial markets. The document should be updated periodically to reflect changes in regulatory requirements and market practices.
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1. Parties: Identifies and provides full details of the broker and the client, including registration numbers, addresses, and authorized representatives
2. Background: Contextual information about the purpose of the agreement and the broker's qualifications/registrations
3. Definitions: Defines key terms used throughout the agreement, including technical and regulatory terminology
4. Scope of Services: Detailed description of brokerage services to be provided, including types of transactions covered
5. Broker's Obligations: Comprehensive list of broker's duties, responsibilities, and compliance requirements
6. Client's Obligations: Client's responsibilities, including providing accurate information and maintaining minimum balances
7. Fees and Commission: Detailed structure of brokerage fees, commissions, and payment terms
8. Term and Termination: Duration of the agreement and conditions for termination by either party
9. Compliance and Regulations: Adherence to SEBI regulations, KYC requirements, and other applicable laws
10. Risk Disclosure: Mandatory risk warnings and disclaimers as required by regulatory authorities
11. Confidentiality: Provisions for handling confidential information and client data
12. Dispute Resolution: Procedures for handling disputes, including arbitration clauses
13. Governing Law: Specification of Indian law as governing law and jurisdiction
14. General Provisions: Standard clauses including force majeure, notices, and amendments
1. Online Trading Services: Include when offering electronic trading platforms or online services
2. Sub-broker Arrangements: Required when services will be provided through sub-brokers
3. International Trading: Include for cross-border trading services
4. Research Services: Add when providing research and advisory services
5. Portfolio Management: Include for discretionary portfolio management services
6. Margin Trading: Required when offering margin trading facilities
7. Insurance Coverage: Include when broker provides additional insurance for transactions
8. Power of Attorney: Add when broker requires specific trading authorizations
1. Schedule A - Fee Structure: Detailed breakdown of all fees, commissions, and charges
2. Schedule B - Trading Parameters: Specific trading limits, margin requirements, and exposure limits
3. Schedule C - KYC Documentation: List of required KYC documents and compliance forms
4. Schedule D - Risk Disclosure Document: Detailed risk disclosures as mandated by SEBI
5. Schedule E - Electronic Trading Terms: Terms and conditions specific to electronic trading platforms
6. Appendix 1 - Account Opening Form: Standard account opening form as per regulatory requirements
7. Appendix 2 - Power of Attorney Format: Standard format for power of attorney if applicable
8. Appendix 3 - Declaration Forms: Various regulatory and compliance declaration forms
Authors
Relevant legal definitions
Clauses
Relevant Industries
Financial Services
Securities Trading
Real Estate
Investment Banking
Wealth Management
Insurance
Commodities Trading
Banking
Asset Management
Corporate Finance
Relevant Teams
Legal
Compliance
Risk Management
Operations
Finance
Client Relations
Trading
Business Development
Regulatory Affairs
Account Management
Relevant Roles
Compliance Officer
Legal Counsel
Broker-Dealer
Investment Advisor
Risk Manager
Financial Controller
Operations Manager
Account Manager
Relationship Manager
Trading Manager
Chief Financial Officer
Business Development Manager
KYC Officer
Regulatory Affairs Manager
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