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Investment Advisory Agreement

Investment Advisory Agreement Template for Australia

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Key Requirements PROMPT example:

Investment Advisory Agreement Template

"I need an Investment Advisory Agreement Template for my boutique wealth management firm in Sydney, focusing on high-net-worth individual clients with emphasis on ESG investments and international portfolio management, to be implemented by March 2025."

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Document background
The Investment Advisory Agreement Template is a essential legal document for Australian financial services providers who offer investment advisory services. It is designed to comply with Australian regulatory requirements, including ASIC regulations and the Corporations Act 2001 (Cth). This template should be used when establishing a formal advisory relationship between licensed investment advisors and their clients, whether individual or institutional. The agreement covers crucial aspects such as service scope, fee structures, risk disclosures, and regulatory compliance obligations. It includes necessary provisions for Australian Financial Services License (AFSL) holders and incorporates post-Royal Commission regulatory requirements. The template is structured to accommodate various types of advisory relationships while maintaining compliance with Australian financial services laws and regulations.
Suggested Sections

1. Parties: Identification of the investment advisor and client, including ACN/ABN and AFSL details

2. Background: Context of the agreement, advisor's qualifications, and regulatory status

3. Definitions and Interpretation: Definitions of key terms and interpretation rules

4. Appointment and Scope of Services: Formal appointment of advisor and detailed description of advisory services

5. Regulatory Compliance: Acknowledgment of regulatory obligations and compliance requirements

6. Advisor's Obligations: Detailed responsibilities including duty of care, reporting, and communication obligations

7. Client's Obligations: Client responsibilities including information provision and communication requirements

8. Fees and Expenses: Fee structure, payment terms, and expense allocation

9. Representations and Warranties: Key statements and guarantees from both parties

10. Risk Disclosures: Mandatory risk warnings and acknowledgments

11. Confidentiality: Protection and handling of confidential information

12. Conflicts of Interest: Disclosure and management of potential conflicts

13. Limitation of Liability: Extent and limitations of advisor's liability

14. Termination: Termination rights, process, and consequences

15. Dispute Resolution: Process for handling disputes and complaints

16. General Provisions: Standard clauses including notices, amendments, and governing law

Optional Sections

1. Discretionary Authority: Used when advisor has authority to make investment decisions without prior client approval

2. International Investments: Required when advisory services include foreign investments

3. Sub-Advisor Arrangements: Included when third-party advisors may be appointed

4. Specific Investment Restrictions: Details client-specific investment restrictions or mandates

5. Performance Fees: Included when performance-based compensation is part of the fee structure

6. Client's Investment Policy: Used when client has specific investment policy requirements

7. ESG Considerations: Required when environmental, social, and governance factors are part of the investment strategy

8. Digital Services: Included when offering online platforms or digital advisory services

Suggested Schedules

1. Schedule 1 - Services Description: Detailed description of advisory services and any excluded services

2. Schedule 2 - Fee Schedule: Comprehensive breakdown of fees, charges, and payment terms

3. Schedule 3 - Investment Strategy: Agreed investment strategy and objectives

4. Schedule 4 - Client Risk Profile: Client's risk assessment and investment profile

5. Appendix A - Financial Services Guide: Mandatory ASIC-required disclosure document

6. Appendix B - Advisor Qualifications: Details of advisor's qualifications and experience

7. Appendix C - Privacy Policy: Detailed privacy and data handling procedures

8. Appendix D - Execution Points: Signing blocks and execution requirements

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

Wealth Management

Investment Banking

Private Banking

Superannuation

Asset Management

Professional Services

Corporate Advisory

Family Office Services

Private Equity

Relevant Teams

Legal

Compliance

Wealth Management

Investment Advisory

Risk Management

Client Services

Operations

Executive Leadership

Portfolio Management

Corporate Advisory

Relevant Roles

Investment Advisor

Financial Planner

Wealth Manager

Compliance Officer

Legal Counsel

Risk Manager

Portfolio Manager

Client Relationship Manager

Chief Investment Officer

Managing Director

Operations Manager

Chief Executive Officer

Trustee Director

Corporate Counsel

Investment Consultant

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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