Introducing Broker Agreement Sfc


If you`re looking to expand your business and enter new markets, becoming an introducing broker can be a great strategy. An introducing broker (IB) is a company or individual who introduces clients to a brokerage firm in exchange for commissions. In Hong Kong, the Securities and Futures Commission (SFC) regulates the activities of brokers and IBs, and requires them to enter into an introducing broker agreement (IBA) to establish the terms and conditions of their relationship. In this article, we`ll explain what an introducing broker agreement is and why it`s important to have one.

What is an Introducing Broker Agreement?

An introducing broker agreement is a contract between a brokerage firm and an introducing broker. The agreement outlines the terms and conditions of the relationship between the two parties, and sets out the responsibilities and obligations of each. The agreement typically covers areas such as commission rates, payment terms, client solicitation, and compliance with regulatory requirements.

Why do You Need an Introducing Broker Agreement?

Entering into an introducing broker agreement is essential for both the brokerage firm and the introducing broker. For the brokerage firm, the agreement provides a clear understanding of the terms and conditions of the relationship with the introducing broker, including the commission rates and payment terms. It also helps to ensure that the introducing broker is acting in compliance with regulatory requirements.

For the introducing broker, the agreement sets out the responsibilities and obligations of the parties, and provides a clear understanding of the commission structure and payment terms. It also protects the introducing broker`s reputation by ensuring that they are not associated with any unethical or illegal activities by the brokerage firm.

Key Components of an Introducing Broker Agreement

Here are some of the key components of an introducing broker agreement:

1. Commission Rates: The agreement should clearly state the commission rates that the brokerage firm will pay the introducing broker for each client referral.

2. Payment Terms: The agreement should specify the payment terms, including when commissions will be paid and how they will be calculated.

3. Client Solicitation: The agreement should outline the rules and regulations regarding client solicitation, including any restrictions on advertising, marketing, or other promotional activities.

4. Compliance with Regulatory Requirements: The agreement should specify that the introducing broker must comply with all applicable laws and regulations, including those of the SFC.


An introducing broker agreement is a crucial component of any IB-broker relationship in Hong Kong. It helps to establish the terms and conditions of the relationship, set out the responsibilities and obligations of both parties, and ensure compliance with regulatory requirements. By having a clear and comprehensive IBA, both the brokerage firm and the introducing broker can benefit from a mutually beneficial relationship that fosters growth and success.

Agreement Years

As a professional, I am familiar with the importance of using specific and relevant keywords in articles. One such keyword that has been gaining attention in recent times is the term “agreement years.”

Agreement years refer to the period of time during which a professional athlete is contracted to play for a particular team. These years are typically outlined in the athlete’s contract and are often a key factor in negotiations between the athlete and their team.

In many sports, agreement years are central to a team`s plan for success. Teams want to ensure that they have talented players under contract for as long as possible, so that they can build a consistent and competitive team for years to come. For this reason, many athletes will negotiate for longer agreement years to provide them with more financial stability and security.

In addition to the importance of agreement years for teams and athletes, they also have a significant impact on fans and the media. Fans often scrutinize the length and terms of a player`s contract, and may become concerned or excited depending on the duration and details of the agreement. The media also closely follows contract negotiations and the terms of agreement years, as they can provide insight into the direction and expectations of a team and its players.

From an SEO perspective, using the term “agreement years” in articles related to sports can help to increase visibility and relevance in search engines. By including this term strategically in headlines, subheadings, and within the body of an article, writers and editors can help to improve their rankings for searches related to this topic.

In conclusion, agreement years have become a significant factor in the world of professional sports, and are increasingly being discussed and analyzed by fans, media, and athletes alike. As copy editors experienced in SEO, it is important to recognize the relevance of this term and to incorporate it effectively in sports-related content to improve search engine rankings and drive traffic to websites.