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Financial Advisory Agreement

Financial Advisory Agreement Template for Switzerland

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Key Requirements PROMPT example:

Financial Advisory Agreement

"I need a Financial Advisory Agreement for my Swiss-based wealth management firm to provide advisory services to high-net-worth private clients from both Switzerland and the EU, with services including portfolio management and succession planning, starting March 2025."

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Document background
The Financial Advisory Agreement is a critical document used when establishing a professional relationship between a financial advisor or advisory firm and their clients in Switzerland. It serves as the primary contractual framework governing the provision of financial advisory services, ensuring compliance with Swiss regulations, particularly the Financial Services Act (FinSA) and Financial Institutions Act (FinIA). This agreement is essential when offering services such as investment advice, portfolio analysis, financial planning, or wealth management services. It includes detailed provisions on service scope, fee structures, risk disclosures, and regulatory requirements specific to the Swiss financial services industry. The document is designed to protect both parties' interests while ensuring transparency and regulatory compliance in the Swiss financial advisory context.
Suggested Sections

1. Parties: Identification of the financial advisor and the client, including regulatory status and contact details

2. Background: Context of the agreement and brief description of the advisor's services and client's needs

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

4. Scope of Services: Detailed description of financial advisory services to be provided, including any limitations

5. Client Classification: Classification of the client according to FinSA categories (private, professional, or institutional)

6. Duties and Responsibilities: Obligations of the advisor including duty of care, loyalty, and information requirements

7. Client's Obligations: Client's responsibilities including providing accurate information and necessary documentation

8. Fees and Charges: Detailed fee structure, payment terms, and any third-party compensation

9. Conflicts of Interest: Disclosure of potential conflicts and how they are managed

10. Confidentiality: Provisions regarding the protection of confidential information and data privacy

11. Term and Termination: Duration of the agreement and conditions for termination

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

13. Notices: Methods and requirements for formal communications between parties

14. Governing Law and Jurisdiction: Specification of Swiss law application and jurisdiction for disputes

15. Miscellaneous: Standard provisions including severability, entire agreement, and amendments

Optional Sections

1. Investment Strategy: Detailed investment approach and guidelines, used when specific investment strategies are part of the advisory service

2. Risk Disclosure: Comprehensive risk warnings, particularly important for complex financial instruments or strategies

3. Digital Services: Terms for online platforms or digital tools if provided as part of the service

4. External Asset Managers: Terms regarding cooperation with external asset managers if applicable

5. Research Services: Terms regarding provision of research materials and analysis if included

6. Tax Considerations: General tax disclaimers and responsibilities, particularly relevant for cross-border advice

7. Succession Planning: Terms regarding inheritance and succession planning services if offered

8. Recording of Communications: Terms regarding recording of client communications if applicable

Suggested Schedules

1. Schedule of Services: Detailed list and description of specific advisory services provided

2. Fee Schedule: Detailed breakdown of all fees, charges, and commission structures

3. Risk Disclosure Statement: Comprehensive disclosure of risks associated with different investment types

4. Client Information Form: KYC documentation and client profile information

5. Investment Guidelines: Specific investment parameters and restrictions if applicable

6. Authorized Persons: List of persons authorized to give instructions on behalf of the client

7. Data Protection Notice: Detailed information about data processing and privacy protection measures

8. Regulatory Disclosures: Required disclosures under FinSA and other applicable regulations

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








































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Relevant Industries

Financial Services

Banking

Wealth Management

Investment Management

Private Banking

Corporate Finance

Insurance

Family Office Services

Professional Services

Asset Management

Fintech

Investment Advisory

Relevant Teams

Legal

Compliance

Wealth Management

Investment Advisory

Client Relations

Risk Management

Financial Planning

Portfolio Management

Regulatory Affairs

Private Banking

Investment Strategy

Product Development

Operations

Relevant Roles

Financial Advisor

Wealth Manager

Investment Consultant

Compliance Officer

Legal Counsel

Risk Manager

Portfolio Manager

Client Relationship Manager

Investment Strategist

Chief Investment Officer

Head of Advisory Services

Private Banker

Financial Planning Specialist

Senior Financial Consultant

Director of Wealth Management

Regulatory Affairs Manager

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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