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1. Anti-Money Laundering Compliance: Detailed AML obligations when the broker-dealer handles client funds directly

2. Marketing and Advertising: Specific requirements for marketing materials when broker-dealer creates their own materials

3. Technology and Systems: Requirements for electronic trading systems and technology integration if applicable

4. Privacy and Data Protection: Enhanced privacy provisions when dealing with retail clients or cross-border data transfers

5. Training Requirements: Specific training obligations for complex products or specialized markets

6. Insurance Requirements: Additional insurance obligations beyond standard coverage

7. Business Continuity: Detailed business continuity requirements for critical service relationships

8. Exclusivity Provisions: Terms regarding exclusive dealing arrangements if applicable

1. Schedule A - Products and Services: Detailed list of approved products and services covered by the agreement

2. Schedule B - Commission Schedule: Detailed compensation rates and calculations

3. Schedule C - Operating Procedures: Day-to-day operational procedures and requirements

4. Schedule D - Required Reports: List and formats of required regulatory and business reports

5. Schedule E - Approved Territories: Geographical areas where broker-dealer is authorized to sell

6. Schedule F - Key Contacts: List of key personnel and contact information

7. Appendix 1 - Compliance Procedures: Detailed compliance requirements and procedures

8. Appendix 2 - Due Diligence Requirements: Specific due diligence procedures and documentation requirements