Financial Advisory Agreement

Financial Advisory Agreement Template for Denmark

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Document background

The Financial Advisory Agreement is essential for establishing formal advisory relationships in the Danish financial services sector. It is typically used when a financial advisor or firm begins providing professional financial advisory services to clients, whether individuals or organizations. The agreement must comply with Danish financial regulations, particularly the Financial Business Act and MiFID II implementation requirements, while also addressing EU-wide regulations such as GDPR. It covers crucial elements including service scope, fee structures, risk disclosures, client classifications, and advisor obligations. This document is particularly important in Denmark's highly regulated financial services environment, where clear documentation of the advisory relationship and associated responsibilities is mandatory.

Suggested Sections

1. Parties: Identification of the financial advisor and the client, including registration numbers and contact details

2. Background: Context of the agreement and brief description of the parties' intention to enter into a financial advisory relationship

3. Definitions: Key terms used throughout the agreement, including regulatory terms and service-specific definitions

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 MiFID II categories (retail/professional/eligible counterparty)

6. Advisor's Obligations: Detailed responsibilities and duties of the financial advisor, including compliance with regulatory requirements

7. Client's Obligations: Client's responsibilities, including providing accurate information and updating relevant changes

8. Fees and Payment: Comprehensive fee structure, payment terms, and any additional costs

9. Conflicts of Interest: Disclosure and management of potential conflicts of interest

10. Confidentiality: Confidentiality obligations and data protection requirements under GDPR

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

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

13. Governing Law and Jurisdiction: Specification of Danish law as governing law and jurisdiction for disputes

Optional Sections

1. Investment Objectives and Restrictions: Used when the client has specific investment goals or restrictions that need to be documented

2. Portfolio Management Services: Include when discretionary portfolio management is part of the services

3. Electronic Communication: Include when parties agree to use specific electronic platforms or communication methods

4. Force Majeure: Optional clause for circumstances beyond parties' control

5. Assignment: Include when transfer of rights needs to be specifically addressed

6. Insurance Coverage: Include when specific professional insurance details need to be documented

Suggested Schedules

1. Schedule 1 - Fee Schedule: Detailed breakdown of all fees, charges, and commission structures

2. Schedule 2 - Service Level Agreement: Specific details about service delivery, response times, and performance standards

3. Schedule 3 - Risk Disclosure: Mandatory risk warnings and detailed risk disclosures

4. Schedule 4 - Privacy Notice: Detailed privacy policy and data protection procedures

5. Appendix A - Client Investment Profile: Documentation of client's risk profile, investment experience, and objectives

6. Appendix B - Authorized Representatives: List of persons authorized to act on behalf of the client

7. Appendix C - Compliance Documents: Required regulatory documents and certifications

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Financial Advisory Agreement Template for Denmark

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