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Financial Consultant Contract

Financial Consultant Contract Template for Australia

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Key Requirements PROMPT example:

Financial Consultant Contract

"I need a Financial Consultant Contract for engaging a senior investment advisor to provide strategic advice to our superannuation fund for a 12-month period starting January 2025, with emphasis on ESG investment compliance and quarterly performance reporting requirements."

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Document background
The Financial Consultant Contract is essential for establishing professional financial consulting relationships in Australia. This document is used when engaging independent financial consultants or consulting firms to provide specialized financial advisory services to businesses or organizations. It ensures compliance with Australian financial services regulations, including ASIC requirements, professional standards, and relevant provisions of the Corporations Act 2001. The contract addresses key aspects such as service scope, regulatory compliance, professional indemnity insurance, confidentiality, and data protection. It's particularly important in protecting both parties' interests while maintaining compliance with Australian financial services licensing and conduct obligations.
Suggested Sections

1. Parties: Identification of the contracting parties including ABN/ACN and registered addresses

2. Background: Context of the agreement and brief description of the parties' business relationship

3. Definitions and Interpretation: Key terms used throughout the agreement and rules for interpretation

4. Appointment and Term: Formal appointment of consultant and duration of the agreement

5. Nature of Relationship: Clear statement of independent contractor status and not employment

6. Scope of Services: Detailed description of financial consulting services to be provided

7. Consultant's Obligations: Key responsibilities, professional standards, and compliance requirements

8. Client's Obligations: Client responsibilities, including provision of information and access

9. Fees and Payment Terms: Compensation structure, payment schedule, and expenses policy

10. Regulatory Compliance: Compliance with financial services laws and professional standards

11. Professional Indemnity Insurance: Insurance requirements and maintenance obligations

12. Confidentiality: Protection of confidential information and client data

13. Intellectual Property: Ownership and usage rights of materials and deliverables

14. Limitation of Liability: Liability caps and exclusions

15. Termination: Grounds for termination and consequences

16. Dispute Resolution: Process for handling disputes and jurisdiction

17. General Provisions: Standard boilerplate clauses including notices, amendment process, and governing law

Optional Sections

1. Non-Compete and Non-Solicitation: Restrictions on competitive activities and client solicitation - include when protecting client relationships is crucial

2. Team and Subcontracting: Rules for engaging additional consultants or team members - include when consultant may need to involve others

3. IT Systems and Security: Requirements for accessing and using client systems - include when consultant needs system access

4. Performance Metrics: Specific KPIs and performance evaluation criteria - include when measuring specific outcomes

5. Training and Professional Development: Requirements for maintaining certifications - include for longer-term engagements

6. Client Resources and Facilities: Use of client premises and resources - include when on-site work is required

7. International Services: Cross-border service provisions - include when serving international clients

Suggested Schedules

1. Schedule 1 - Service Description: Detailed breakdown of specific financial consulting services and deliverables

2. Schedule 2 - Fee Schedule: Detailed fee structure, rates, and payment terms

3. Schedule 3 - Key Personnel: Details of main consultant(s) and any approved substitutes

4. Schedule 4 - Compliance Requirements: Specific regulatory requirements and professional standards

5. Schedule 5 - Service Levels: Performance standards and response times

6. Appendix A - Required Qualifications: List of mandatory professional qualifications and licenses

7. Appendix B - Approved Tools and Software: List of approved financial analysis tools and software

8. Appendix C - Reporting Templates: Standard templates for financial reports and documentation

Authors

Alex Denne

Head of Growth (Open Source Law) @ ¶¶Òõ¶ÌÊÓƵ | 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








































Clauses




































Relevant Industries

Financial Services

Professional Services

Banking

Insurance

Investment Management

Corporate Advisory

Wealth Management

Business Consulting

Tax Advisory

Superannuation

Private Equity

Corporate Finance

Relevant Teams

Legal

Finance

Procurement

Compliance

Risk Management

Treasury

Corporate Development

Operations

Human Resources

Corporate Advisory

Relevant Roles

Financial Consultant

Financial Advisor

Business Consultant

Corporate Finance Advisor

Investment Consultant

Treasury Consultant

Financial Planning Manager

Chief Financial Officer

Finance Director

Compliance Officer

Legal Counsel

Procurement Manager

Risk Manager

Financial Controller

Industries








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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