Financial Advisory Agreement

Financial Advisory Agreement Template for Hong Kong

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Key Requirements PROMPT example:

"I need a Financial Advisory Agreement for my Hong Kong-based wealth management firm to provide investment advisory services to high-net-worth professional investors, with particular focus on cross-border investments and delegation rights to overseas sub-advisors."

Document background

The Financial Advisory Agreement is a crucial document used in Hong Kong's financial services industry to formalize the relationship between licensed financial advisors and their clients. It is essential for any entity providing financial advisory services under Hong Kong's regulatory framework, particularly under the Securities and Futures Ordinance. The agreement covers comprehensive aspects including service scope, fee structures, risk disclosures, and regulatory compliance requirements. It is designed to protect both advisor and client interests while ensuring adherence to SFC regulations and professional standards. This document is particularly important given Hong Kong's status as a major financial center and the strict regulatory requirements governing financial advisory services in the jurisdiction.

Suggested Sections

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

2. Background: Context of the agreement and brief description of the advisory relationship to be established

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

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

5. Appointment and Authority: Formal appointment of the advisor and extent of their authority to act on behalf of the client

6. Duties and Responsibilities: Specific obligations of the financial advisor, including fiduciary duties and standard of care

7. Client Representations and Warranties: Client's confirmations regarding their status, understanding of risks, and authority to enter agreement

8. Fees and Payment Terms: Structure and calculation of advisory fees, payment schedule, and expenses

9. Confidentiality: Obligations regarding protection of confidential information and client data

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

11. Risk Disclosures: Mandatory risk warnings and acknowledgments as required by SFC regulations

12. Term and Termination: Duration of agreement and circumstances for termination

13. Indemnification: Mutual indemnification provisions and limitation of liability

14. Governing Law and Jurisdiction: Specification of Hong Kong law and jurisdiction for dispute resolution

15. General Provisions: Standard boilerplate clauses including notices, amendments, and assignment

Optional Sections

1. Professional Investor Status: Required when client qualifies as a Professional Investor under SFO, modifying certain regulatory requirements

2. Delegation: Include when advisor may delegate certain functions to third parties

3. Research Services: Include when providing investment research as part of advisory services

4. Online Access: Include when providing digital platforms or online access to advisory services

5. Portfolio Review: Include for ongoing portfolio monitoring and review services

6. Cross-Border Services: Include when providing advice on overseas investments or to non-Hong Kong clients

7. Marketing Consent: Include when advisor wishes to use client information for marketing purposes

8. Force Majeure: Optional broader force majeure provisions beyond standard market disruption events

Suggested Schedules

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

2. Schedule 2 - Scope of Services: Detailed description of specific advisory services and any excluded services

3. Schedule 3 - Investment Mandate: Client's investment objectives, restrictions, and risk profile

4. Schedule 4 - Authorized Persons: List of persons authorized to give instructions on behalf of client

5. Appendix A - Risk Disclosure Statement: Mandatory SFC risk disclosures and additional risk warnings

6. Appendix B - Privacy Policy: Detailed privacy and personal data handling policies

7. Appendix C - Compliance Documents: Required regulatory forms and compliance documentation

8. Appendix D - Service Level Agreement: Specific performance standards and service levels to be maintained

Authors

Alex Denne

Head of Growth (Open Source Law) @ ��Ƶ | 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

Investment Management

Wealth Management

Private Banking

Corporate Finance

Asset Management

Insurance

Family Office Services

Professional Services

Investment Advisory

Relevant Teams

Legal

Compliance

Risk Management

Investment Advisory

Wealth Management

Operations

Client Services

Business Development

Portfolio Management

Corporate Governance

Finance

Documentation

Relevant Roles

Financial Advisor

Compliance Officer

Legal Counsel

Risk Manager

Investment Consultant

Wealth Manager

Portfolio Manager

Client Relationship Manager

Chief Investment Officer

Operations Manager

Chief Compliance Officer

Managing Director

Executive Director

Investment Advisor

Business Development Manager

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