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.
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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
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
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
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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