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Introducing Broker Agreement

Introducing Broker Agreement Template for Singapore

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Key Requirements PROMPT example:

Introducing Broker Agreement

"Need an Introducing Broker Agreement for our Singapore-based forex trading platform, where we'll appoint multiple brokers in Southeast Asia to refer institutional clients only, with a tiered commission structure starting from March 2025."

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What is a Introducing Broker Agreement?

An Introducing Broker Agreement is essential when establishing formal referral relationships in Singapore's financial services sector. This document, governed by Singapore law and MAS regulations, defines the scope of permitted introduction activities, commission structures, and compliance obligations. It's particularly important given Singapore's strict financial services regulatory framework, which requires clear documentation of intermediary relationships. The agreement ensures both parties understand their respective roles, responsibilities, and regulatory obligations while protecting the interests of referred clients.

What sections should be included in a Introducing Broker Agreement?

1. Parties: Identification of the introducing broker and the principal firm

2. Background: Context of the agreement and relationship between parties

3. Definitions: Key terms used throughout the agreement

4. Scope of Services: Details of introduction services to be provided

5. Compensation: Commission structure and payment terms

6. Regulatory Compliance: Obligations regarding licensing and regulatory requirements

7. Representations and Warranties: Standard declarations by both parties

8. Term and Termination: Duration and termination provisions

9. Confidentiality: Protection of confidential information

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

1. Non-Compete: Restrictions on competitive activities - used when exclusivity is required

2. White Labeling: Provisions for branded services - used when broker will use principal's platform under their own brand

3. Training: Training requirements and procedures - used when specific training is required for the broker

What schedules should be included in a Introducing Broker Agreement?

1. Commission Schedule: Detailed breakdown of commission structures and calculations

2. Service Level Agreement: Specific performance metrics and service standards

3. Compliance Procedures: Detailed compliance requirements and procedures

4. Client Documentation: Required forms and documents for client introductions

5. Data Protection Requirements: Specific procedures for handling personal data

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, futures, and financial services in Singapore. Establishes licensing requirements, market conduct rules, and regulatory framework.

Financial Advisers Act (FAA): Regulatory framework for financial advisory services in Singapore, including licensing requirements and conduct of business regulations.

MAS Guidelines and Notices: Regulatory guidelines and notices issued by the Monetary Authority of Singapore that provide detailed requirements for financial institutions and intermediaries.

MAS Notice SFA04-N02: Specific notice on Prevention of Money Laundering and Countering the Financing of Terrorism, outlining AML/CFT obligations for financial institutions.

Personal Data Protection Act 2012: Legislative framework governing the collection, use, disclosure, and care of personal data in Singapore.

Contract Law (Chapter 53): Singapore's primary legislation governing contract formation, enforcement, and general contractual obligations.

Consumer Protection (Fair Trading) Act: Legislation protecting consumers against unfair practices and providing additional rights in consumer transactions.

Arbitration Act: Legal framework governing arbitration proceedings in Singapore, important for dispute resolution clauses.

Employment Act: Primary legislation governing employment relationships and rights in Singapore, relevant if the introducing broker relationship involves employment elements.

Corruption, Drug Trafficking and Other Serious Crimes Act: Legislation dealing with money laundering offenses and confiscation of benefits from criminal conduct.

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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