The Broker Engagement Letter is a fundamental document used in the Indian financial services industry to formalize the relationship between a securities broker and their clients. This document is essential when establishing new brokerage relationships and must comply with the Securities and Exchange Board of India (SEBI) regulations, the Indian Contract Act, and other applicable financial services laws. The letter typically includes detailed service descriptions, fee structures, risk disclosures, and compliance requirements. It's particularly important in India's highly regulated securities market where clear documentation of the broker-client relationship is mandatory. The document serves both as a legal agreement and a regulatory compliance tool, ensuring that all aspects of the brokerage relationship are clearly defined and documented as per Indian law.
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1. Opening Address and Date: Formal letter opening with recipient's details and date
2. Introduction: Identification of the parties and confirmation of engagement
3. Scope of Services: Detailed description of brokerage services to be provided
4. Client Categorization: Classification of client (retail/professional/institutional) as per regulatory requirements
5. Broker's Obligations: Key responsibilities and duties of the broker
6. Client's Obligations: Key responsibilities and obligations of the client including KYC compliance
7. Fee Structure: Detailed breakdown of brokerage fees, charges, and payment terms
8. Risk Disclosure: Mandatory risk warnings and disclaimers
9. Term and Termination: Duration of engagement and termination provisions
10. Confidentiality: Confidentiality obligations of both parties
11. Governing Law: Confirmation of Indian law as governing law and jurisdiction
12. Signature Block: Space for acceptance and signatures of both parties
1. Online Trading Services: Additional terms for electronic trading platform access and usage
2. Research Services: Terms regarding provision of research and analysis services
3. Portfolio Management: Additional terms if portfolio management services are included
4. International Trading: Specific terms for international market access if offered
5. Margin Trading Facility: Terms and conditions for margin trading if offered
6. Sub-broker Arrangements: Terms relating to any sub-broker relationships
7. Power of Attorney: Optional section if POA is required for specific services
1. Schedule of Charges: Detailed breakdown of all applicable fees, charges, and commissions
2. Risk Disclosure Document: Comprehensive risk disclosure as required by SEBI
3. KYC Documentation Requirements: List of required KYC documents and procedures
4. Trading Account Details: Details of trading account and depository participant information
5. Authorized Representatives: List of authorized persons who can operate the account
6. Product and Service Details: Detailed description of specific products and services offered
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