The Financial Advisor Contract is essential for establishing professional financial advisory relationships in Indonesia's regulated financial services sector. This document is typically used when engaging financial advisory services, whether for individual or corporate clients, and must comply with Indonesian Financial Services Authority (OJK) regulations and relevant financial laws. The contract covers crucial elements including service scope, fee structures, advisor obligations, client responsibilities, confidentiality requirements, and regulatory compliance measures. It's particularly important as it incorporates specific Indonesian regulatory requirements, including consumer protection provisions, data privacy regulations, and dispute resolution mechanisms. The document serves as a crucial risk management tool while ensuring transparency and regulatory compliance in financial advisory relationships.
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1. Parties: Identification of the Financial Advisor and the Client, including registration details and licensing information
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 financial advisory services to be provided
5. Advisor's Obligations: Specific duties and responsibilities of the financial advisor, including regulatory compliance requirements
6. Client's Obligations: Client's responsibilities, including providing accurate information and required documentation
7. Fees and Payment Terms: Detailed fee structure, payment schedule, and payment methods
8. Representations and Warranties: Statements of fact and guarantees by both parties
9. Confidentiality: Obligations regarding confidential information and client data protection
10. Compliance with Laws: Commitment to comply with Indonesian financial regulations and relevant laws
11. Term and Termination: Duration of the agreement and conditions for termination
12. Dispute Resolution: Process for resolving disputes, including jurisdiction and governing law
13. General Provisions: Standard contract clauses including notices, amendments, and severability
1. Investment Management: Required when the advisor provides specific investment management services or recommendations
2. International Services: Needed when providing cross-border advisory services
3. Custody of Funds: Required when the advisor handles or has access to client funds
4. Risk Disclosures: Detailed risk warnings for specific investment products or strategies
5. Performance Reporting: Specific terms for performance measurement and reporting if applicable
6. Third-Party Services: Terms governing the use of external service providers or referrals
7. Digital Services: Required when providing online or digital advisory services
8. Insurance Coverage: Details of professional indemnity insurance when required by specific circumstances
1. Schedule A - Fee Schedule: Detailed breakdown of all fees, charges, and commission structures
2. Schedule B - Services Description: Comprehensive list and description of all services offered
3. Schedule C - Compliance Requirements: Specific regulatory requirements and compliance procedures
4. Schedule D - Required Documentation: List of documents required from the client
5. Appendix 1 - Risk Disclosure Statement: Detailed risk warnings and disclaimers as required by OJK regulations
6. Appendix 2 - Client Investment Profile: Template for recording client's investment objectives and risk tolerance
7. Appendix 3 - Reporting Templates: Standard formats for regular reporting and communications
8. Appendix 4 - Contact Information: Details of key personnel and emergency contacts
Relevant legal definitions
Clauses
Relevant Industries
Financial Services
Banking
Investment Management
Insurance
Wealth Management
Corporate Advisory
Professional Services
Private Equity
Asset Management
Family Office Services
Relevant Teams
Legal
Compliance
Risk Management
Finance
Corporate Advisory
Wealth Management
Investment Management
Client Relations
Operations
Treasury
Relevant Roles
Financial Advisor
Investment Consultant
Wealth Manager
Corporate Finance Manager
Chief Financial Officer
Risk Management Officer
Compliance Officer
Legal Counsel
Investment Manager
Client Relationship Manager
Portfolio Manager
Financial Planning Director
Treasury Manager
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