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Financial Advisory Services Agreement Template
"I need a Financial Advisory Services Agreement Template for my Dubai-based wealth management firm to provide comprehensive investment advisory services to high-net-worth individuals, including both conventional and Islamic finance options, with the agreement to take effect from March 1, 2025."
1. Parties: Identification of the Financial Advisor and the Client, including full legal names, addresses, and registration details
2. Background: Context of the agreement, including the advisor's qualifications and regulatory authorizations
3. Definitions: Key terms used throughout the agreement, including specific financial and regulatory terminology
4. Scope of Services: Detailed description of the financial advisory services to be provided, including any limitations
5. Client Classification: Classification of the client according to UAE regulatory requirements (retail/professional/market counterparty)
6. Regulatory Compliance: Compliance with UAE financial regulations and applicable laws
7. Fees and Payment Terms: Detailed fee structure, payment schedule, and any additional charges
8. Rights and Obligations: Specific responsibilities and obligations of both the advisor and the client
9. Conflicts of Interest: Disclosure and management of potential conflicts of interest
10. Confidentiality: Protection and handling of confidential information and client data
11. Term and Termination: Duration of the agreement and circumstances for termination
12. Liability and Indemnification: Limitations of liability and indemnification provisions
13. Force Majeure: Provisions for unforeseen circumstances affecting performance
14. Governing Law and Jurisdiction: Specification of UAE law as governing law and jurisdiction for disputes
15. General Provisions: Standard boilerplate clauses including notices, amendments, and assignment
1. Investment Restrictions: Specific investment restrictions or preferences of the client - include when providing investment advisory services
2. Performance Reporting: Details of performance measurement and reporting - include when ongoing portfolio monitoring is part of the service
3. Sub-Advisory Services: Provisions for engaging sub-advisors - include when sub-advisors may be used
4. Cross-Border Services: Additional provisions for cross-border advisory services - include when serving clients in multiple jurisdictions
5. Electronic Services: Terms for digital/online advisory services - include when providing robo-advisory or digital services
6. Shariah Compliance: Islamic finance compliance provisions - include when providing Shariah-compliant advisory services
7. Research Services: Terms for providing research and analysis - include when research is a specific service offering
8. Corporate Advisory: Specific terms for corporate clients - include when providing corporate advisory services
1. Schedule 1 - Service Description: Detailed breakdown of specific advisory services and deliverables
2. Schedule 2 - Fee Schedule: Comprehensive fee structure including all charges and payment terms
3. Schedule 3 - Client Classification Documentation: Documents supporting client classification and suitability assessment
4. Schedule 4 - Risk Disclosure Statement: Mandatory risk disclosures as per UAE regulations
5. Schedule 5 - Compliance Requirements: Specific regulatory and compliance requirements applicable to the services
6. Appendix A - Key Personnel: Details of key advisory team members and their qualifications
7. Appendix B - Service Level Standards: Performance standards and service level commitments
8. Appendix C - Required Disclosures: Mandatory disclosures required under UAE financial regulations
Authors
Financial Services
Banking
Investment Management
Professional Services
Wealth Management
Corporate Advisory
Insurance
Real Estate
Private Equity
Islamic Finance
Family Office Services
Asset Management
Fund Management
Corporate Finance
Investment Banking
Legal
Compliance
Risk Management
Investment Advisory
Wealth Management
Corporate Finance
Private Banking
Operations
Client Relations
Portfolio Management
Islamic Banking
Product Development
Financial Planning
Investment Strategy
Regulatory Affairs
Financial Advisor
Wealth Manager
Investment Consultant
Legal Counsel
Compliance Officer
Risk Manager
Portfolio Manager
Client Relationship Manager
Chief Financial Officer
Chief Investment Officer
Managing Director
Head of Advisory Services
Investment Strategist
Family Office Manager
Corporate Finance Advisor
Islamic Finance Specialist
Private Banking Manager
Director of Operations
Senior Financial Planner
Regulatory Compliance Manager
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