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Broker Client Agreement

Broker Client Agreement Template for Singapore

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Key Requirements PROMPT example:

Broker Client Agreement

"Need a Broker Client Agreement for a Singapore-based retail brokerage firm offering online trading services in stocks and ETFs, with specific provisions for margin trading and risk disclosure requirements to be compliant with January 2025 MAS regulations."

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What is a Broker Client Agreement?

The Broker Client Agreement is a fundamental document required under Singapore's regulatory framework for establishing a formal relationship between licensed brokers and their clients. This agreement is essential for compliance with the Securities and Futures Act and MAS regulations, providing clear terms for trading services, risk management, and client protection. It addresses various aspects including account operation, trading authorizations, fee structures, and regulatory requirements specific to Singapore's financial markets.

What sections should be included in a Broker Client Agreement?

1. Parties: Identification of the broker and client, including registration details and addresses

2. Background: Context of the agreement and regulatory framework under which services are provided

3. Definitions: Key terms used throughout the agreement, including regulatory definitions

4. Services: Scope of brokerage services to be provided

5. Client Classification: Classification of client (retail/accredited/institutional investor)

6. Trading Authorization: Terms under which the broker may execute trades

7. Fees and Commissions: Pricing structure and payment terms

8. Risk Disclosure: Mandatory risk warnings as per MAS requirements

9. Client Obligations: Client responsibilities including KYC and AML requirements

10. Termination: Conditions for ending the agreement

What sections are optional to include in a Broker Client Agreement?

1. Online Trading Facilities: Terms and conditions for electronic trading platforms when offering online trading services

2. Margin Trading: Terms and conditions for margin financing when offering margin trading facilities

3. Foreign Securities Trading: Additional terms and conditions for international trading when offering foreign market access

4. Discretionary Trading: Terms and conditions for managed accounts when offering discretionary account management

What schedules should be included in a Broker Client Agreement?

1. Risk Disclosure Statement: Detailed risk disclosures as required by MAS

2. Fee Schedule: Detailed breakdown of all fees and charges

3. Trading Rules: Specific trading rules and procedures

4. Personal Data Protection Policy: Details of data handling and privacy practices

5. Account Opening Forms: Required documentation for account setup

6. Authorized Persons List: List of persons authorized to trade on behalf of client

Authors

Alex Denne

Head of Growth (Open Source Law) @ Ƶ | 3 x UCL-Certified in Contract Law & Drafting | 4+ Years Managing 1M+ Legal Documents | Serial Founder & Legal AI Author

alex.den.21@genieai.co
Relevant legal definitions


































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Industries

Securities and Futures Act (SFA): Primary legislation governing securities and futures markets, including licensing requirements for brokers and trading regulations in Singapore

Financial Advisers Act (FAA): Key legislation regulating financial advisory services and requirements for financial advisers in Singapore

Companies Act: Fundamental legislation governing corporate entities and their operations in Singapore

Personal Data Protection Act (PDPA): Legislation governing the collection, use, and disclosure of personal data, essential for client data protection

MAS Guidelines: Regulatory guidelines issued by the Monetary Authority of Singapore providing detailed compliance requirements

MAS Notice SFA 04-N12: Specific notice on risk disclosure requirements for trading in securities, futures and other investment products

MAS Guidelines on Standards of Conduct: Guidelines specifying expected standards of conduct for financial advisers and brokers

Securities and Futures (Licensing and Conduct of Business) Regulations: Detailed regulations on licensing requirements and business conduct for securities and futures trading

Financial Advisers Regulations: Specific regulations governing the conduct and operations of financial advisers

SGX Trading Rules: Rules and regulations specific to trading on the Singapore Exchange

MAS Notice SFA04-N02: Requirements for Prevention of Money Laundering and Countering the Financing of Terrorism

Accredited Investor Framework: Rules and criteria for classification of accredited investors and associated regulatory treatment

Consumer Protection (Fair Trading) Act: Legislation ensuring fair trading practices and consumer protection in financial services

MAS Guidelines on Fair Dealing: Guidelines ensuring fair dealing with customers in the financial industry

Teams

Employer, Employee, Start Date, Job Title, Department, Location, Probationary Period, Notice Period, Salary, Overtime, Vacation Pay, Statutory Holidays, Benefits, Bonus, Expenses, Working Hours, Rest Breaks,  Leaves of Absence, Confidentiality, Intellectual Property, Non-Solicitation, Non-Competition, Code of Conduct, Termination,  Severance Pay, Governing Law, Entire Agreemen

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