Financial Service Contracts

Hire the services of a commodities trader with this Alberta Commodities Trader Consulting Services Agreement.

• The trader agrees to provide consulting services with respect to buying and selling commodities contracts traded on various exchanges, on behalf of the business.
• The trader will develop a trading program for the business.
• The trader must report monthly to the business.
• If the business' trading account falls below a specified limit, the trader can sell off all of the contracts and terminate the agreement.
• The contract is governed by the securities laws of the Province of Alberta, Canada.
• The form is available as a downloadable MS Word file, which can be easily customized to fit your business.

Alberta investors, do you know what your legal rights are? Learn more with this free guide from the Alberta Securities Commission.

• The right to obtain complete information about any investment your financial adviser suggests, including risks and other factors which may affect its performance.
• Information about the work history and experience of an investment salesperson.
• Copies of all documents that relate to an investment.
• Complete information about fees, commissions, charges and fees.

The Alberta Investor Charter of Rights was adapted from the North American Securities Administrators Association Investor Bill of Rights.

Set up an Alberta partnership for buying and selling commodities contracts with this Limited Partnership Agreement template.

• The partnership is being formed for the sole purpose of buying and selling commodities contracts.
• If the capital account drops below 50% of the aggregate capital contributions of the limited partners, the business will end immediately and the partnership will sell all of its commodities contracts.
• The limited partners do not have the authority to manage the partnership, or to execute contracts on its behalf or bind it in any way.
• Each limited partner grants the general partner a power of attorney to execute and register documents on their behalf with respect to establishing and eventually dissolving the partnership.
• If any partner defaults in payment of any amount which he has agreed to pay, the general partner may sell the defaulting partner's units to raise funds to remedy the default.
• Available in MS Word format.
• Intended to be used only in the Province of Alberta, Canada.

This Broker Fee Agreement is an easy downloadable template for UK brokers to use when signing up a new client.

• The agreement covers fees for broker services only, and does not include other fees associated with mortgages and financial products.
• The agreement can be used for fee, commission, or combined fee ⁄ commission arrangements.
• If the client is applying for a mortgage, the client agrees to pay a non-refundable fee at the time the mortgage application is made.
• If the broker is being paid a commission on a regular premium insurance policy, the broker reserves the right to charge the client a fee if the client cancels the policy.
• The agreement contains a disclaimer stating that the broker is not qualified to provide legal advice. However, if the broker refers the client to a solicitor or other professional, the client agrees to pay a referral fee.
• Governed by the laws of England and Wales.

Prepare an Electronic Brokerage Use and Trading Agreement for a brokerage services website with this easy-to-use template.

• The Agreement contains provisions for individual users and for broker-dealers, investment managers and advisers.
• The brokerage has no obligation to accept, or to execute or cancel, all or part of any transaction executed through its trading services.
• The client is responsible for providing all terms and conditions relevant to orders placed, and for designating short sales as such.
• All transactions placed through the online brokerage must comply with applicable laws, rules and regulations.
• The brokerage makes no warranty with respect to any data or information provided in connection with the trading services.
• The brokerage's liability with respect to any transaction is limited to the amount of profit received on the specific transaction.
• The client indemnifies and holds the brokerage and its related parties harmless against losses, claims or damages arising out of the client's use of the website and the trading services.
• Available in MS Word format, which can be converted to html for posting on your website.

Hire an investor relations advisor to provide your company with investment services with this customizable Engagement Letter template.

• The investor relations advisor will provide the following services:
  • helping the client raise capital;
  • handling investor relations;
  • designing and implementing a market development plan;
  • managing the company's marketing and advertising;
  • making presentations to investors;
  • arranging meetings with venture capitalists;
  • and performing other related duties and functions.
• Available in MS Word format and can be easily edited to fit your circumstances.

Prepare a Finder's Fee Agreement for Identifying Potential Financings with this easy-to-use template form for Canada.

• The Agreement is between a Canadian company looking for a source of financial backing and an agent who will introduce the company to potential investors or acquirers to complete a financing with the company.
• The agent will be paid a finder's fee for each financing consummated by the company. The finder's fee will be paid in cash from the proceeds.
• A financing includes acquisition or disposition of an interest in the company, equity investment, loans or other credit transactions, or acquisition by or of a publicly traded company.
• If the financing is completed and payment is received by the client in stages, the agent will be paid in portions corresponding to the stages of payments.
• The client will indemnify the agent against any claims arising as a result of material misrepresentation by the client of any of its corporate information.
• This is a Canadian legal document available in MS Word format, and is fully editable.

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This Agreement to Buy and Sell Stock is between an Indian stock trader and a client, and sets out the terms on which the trader will buy and sell securities for the client.

• The trader must be a member of the National Stock Exchange of India Ltd. (NSEIL) and National Securities Clearing Corporation Ltd. (NSCCL).
• The client will execute all of its orders for purchasing, selling and redeeming units of mutual fund schemes through the trader.
• The trader will buy and sell the units, pay over funds, deliver units, and supply documentation to the client as required.
• The agreement is subject to SEBI, NSEIL, and NSCCL rules, regulations and guidelines.

If you are a trader, you will find this Agreement to Buy and Sell Stock a convenient and easy means of preparing your client contracts. You can use it as often as your business requires.

Prepare a Commission Agreement for services rendered by an insurance agent with this template form for Canada.

• The Agreement is between a mutual fund company, a licensed insurance agent and the financial services corporation which employs the agent.
• The mutual fund company agrees to pay commissions for services rendered by the insurance agent.
• In accordance with the Insurance Act, all commissions paid to the agent are earned on behalf of the financial corporation.
• This legal form template is available as a downloadable and fully editable Microsoft Word document.
• Governed by Canadian laws and intended for use only in Canada.