Financial Advisory Services Agreement

Financial Advisory Services Agreement Template for Denmark

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Document background

The Financial Advisory Services Agreement is essential for establishing professional financial advisory relationships under Danish law. This document is typically used when a financial advisor or firm begins providing advisory services to clients, whether corporate, institutional, or private. It structures the advisory relationship in compliance with Danish financial regulations, including the Danish Financial Business Act and MiFID II implementation requirements. The agreement covers crucial aspects such as service scope, fee structures, regulatory compliance, risk disclosures, and professional obligations. It's particularly important in the Danish context due to specific regulatory requirements for financial advisors, including mandatory disclosures, conflict of interest management, and client categorization requirements.

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' intentions

3. Definitions: Definitions of key terms used throughout the agreement

4. Scope of Services: Detailed description of the financial advisory services to be provided

5. Advisor's Obligations: Key responsibilities and duties of the financial advisor, including regulatory compliance obligations

6. Client's Obligations: Client's responsibilities, including provision of accurate information and documentation

7. Fees and Payment: Fee structure, payment terms, and expenses

8. Regulatory Compliance: Compliance with Danish financial regulations and EU directives

9. Confidentiality: Confidentiality obligations and handling of sensitive information

10. Data Protection: GDPR compliance and data handling procedures

11. Conflicts of Interest: Procedures for identifying and managing potential conflicts

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

13. Term and Termination: Duration of agreement and termination provisions

14. General Provisions: Standard legal provisions including governing law, notices, and amendments

Optional Sections

1. Investment Restrictions: For clients with specific investment restrictions or preferences

2. International Services: When services are provided across multiple jurisdictions

3. Retail Client Protections: Additional protections when dealing with retail clients

4. Sub-Advisory Arrangements: When third-party advisors or service providers are involved

5. Performance Reporting: Specific reporting requirements beyond standard obligations

6. Special Risk Disclosures: For specific high-risk investment strategies or products

7. Force Majeure: Provisions for extraordinary circumstances affecting service delivery

Suggested Schedules

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

2. Schedule 2 - Fee Schedule: Detailed fee structure, including any performance-based fees

3. Schedule 3 - Authorized Representatives: List of authorized representatives from both parties

4. Schedule 4 - Reporting Requirements: Format and frequency of reports and communications

5. Schedule 5 - Compliance Requirements: Specific regulatory requirements and compliance procedures

6. Appendix A - Risk Disclosure Statement: Mandatory risk disclosures under Danish law

7. Appendix B - Privacy Policy: Detailed data protection and privacy procedures

8. Appendix C - Conflict of Interest Policy: Detailed procedures for managing conflicts of interest

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Financial Advisory Services Agreement Template for Denmark

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