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Financial Advisor Contract

Financial Advisor Contract Template for Switzerland

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Key Requirements PROMPT example:

Financial Advisor Contract

"I need a Financial Advisor Contract under Swiss law for my wealth management firm based in Zurich, providing services to high-net-worth retail clients, with specific provisions for digital investment advisory tools and cross-border services to EU clients."

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Document background
The Financial Advisor Contract is essential for establishing professional financial advisory relationships in Switzerland. This document is typically used when engaging a financial advisor for services such as investment advice, portfolio management, or general financial planning. The contract must comply with Swiss regulatory requirements, particularly the Financial Services Act (FinSA) and Financial Institutions Act (FinIA), which set strict standards for financial service providers. It includes comprehensive details about services, fees, duties, and obligations while incorporating necessary regulatory disclosures, risk warnings, and compliance procedures. The document is designed to protect both advisor and client interests while ensuring transparency and regulatory compliance in the Swiss financial services market.
Suggested Sections

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 advisor's qualifications and client's objectives

3. Definitions: Key terms used throughout the agreement, including regulatory terminology

4. Scope of Services: Detailed description of financial advisory services to be provided, aligned with FinSA requirements

5. Duties and Responsibilities: Specific obligations of the Financial Advisor, including fiduciary duties and regulatory compliance

6. Client's Obligations: Client's responsibilities, including information provision and cooperation requirements

7. Fees and Compensation: Fee structure, payment terms, and any additional costs

8. Regulatory Compliance: Compliance with FinSA, FinIA, and other applicable regulations

9. Confidentiality: Confidentiality obligations and data protection measures

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

11. Term and Termination: Duration of the agreement and termination provisions

12. Liability and Indemnification: Extent of advisor's liability and indemnification provisions

13. General Provisions: Standard clauses including governing law, jurisdiction, and amendments

Optional Sections

1. Investment Policy: Detailed investment guidelines and restrictions (include when providing portfolio management services)

2. Risk Disclosure: Comprehensive risk warnings (required for complex financial instruments)

3. Third-Party Services: Terms regarding the engagement of third-party service providers

4. Reporting Requirements: Specific reporting obligations (include for ongoing advisory relationships)

5. Digital Services: Terms for online platforms or digital tools if provided

6. International Services: Additional provisions for cross-border advisory services

7. Performance Metrics: Performance measurement and evaluation criteria (for discretionary management)

Suggested Schedules

1. Schedule A - Service Description: Detailed breakdown of specific advisory services and deliverables

2. Schedule B - Fee Schedule: Comprehensive fee structure, including calculation methods and payment terms

3. Schedule C - Client Risk Profile: Client's investment objectives, risk tolerance, and investment restrictions

4. Schedule D - Regulatory Disclosures: Required disclosures under FinSA and other applicable regulations

5. Appendix 1 - Power of Attorney: If applicable, scope of authority granted to the advisor

6. Appendix 2 - KYC Documentation: Know Your Customer documentation and client classification

7. Appendix 3 - Compliance Procedures: Internal compliance procedures and regulatory 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

Banking

Wealth Management

Investment Management

Corporate Advisory

Private Banking

Insurance

Asset Management

Family Office Services

Professional Services

Relevant Teams

Legal

Compliance

Wealth Management

Investment Advisory

Risk Management

Client Relations

Operations

Document Management

Finance

Private Banking

Relevant Roles

Financial Advisor

Wealth Manager

Investment Consultant

Portfolio Manager

Compliance Officer

Legal Counsel

Risk Manager

Client Relationship Manager

Chief Investment Officer

Head of Advisory Services

Managing Director

Private Banker

Investment Strategist

Financial Planner

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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