Financial Advisor Contract

Financial Advisor Contract Template for India

Create a bespoke document in minutes, or upload and review your own.

4.6 / 5

4.8 / 5

Let's create your Financial Advisor Contract

1. Select your governing law and document type:

2. Enter your key requirements:

3. Create your document to edit, review or download

Get your first 2 documents free

Your data doesn't train Genie's AI

You keep IP ownership of your information

Key Requirements PROMPT example:

"I need a Financial Advisor Contract for my wealth management firm in Mumbai to provide comprehensive financial planning services to high-net-worth individuals, with specific provisions for international investments and SEBI compliance requirements."

Document background

The Financial Advisor Contract is essential for establishing professional financial advisory relationships in India. This document is used when engaging a financial advisor or advisory firm to provide investment advice, financial planning, or wealth management services. It ensures compliance with SEBI regulations and Indian law while protecting both advisor and client interests. The contract addresses key aspects such as service scope, fees, fiduciary duties, and regulatory compliance, making it suitable for both individual and institutional advisory relationships. It's particularly important given India's growing wealth management sector and increasing regulatory oversight of financial advisory services.

Suggested Sections

1. Parties: Identification of the Financial Advisor and the Client, including registration details and contact information

2. Background: Context of the agreement and brief description of the parties' intentions

3. Definitions: Key terms used throughout the agreement

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

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

6. Client's Obligations: Responsibilities of the client, including information provision and cooperation

7. Fees and Payment Terms: Compensation structure, payment schedule, and expenses

8. Representations and Warranties: Statements of fact and assurances from both parties

9. Confidentiality: Protection of confidential information and client data

10. Term and Termination: Duration of the agreement and termination provisions

11. Limitation of Liability: Extent and limitations of advisor's liability

12. Dispute Resolution: Process for resolving disputes between parties

13. Governing Law: Specification of Indian law as governing law and jurisdiction

14. General Provisions: Standard contractual provisions including notices, amendments, and severability

Optional Sections

1. Non-Compete: Restrictions on advisor's ability to service competing clients - used when dealing with corporate clients or sensitive industries

2. Insurance: Requirements for professional indemnity insurance - used for high-value advisory relationships

3. Intellectual Property: Protection of proprietary methods and materials - used when advisor has unique methodologies or tools

4. Force Majeure: Provisions for unforeseen circumstances - used in long-term advisory relationships

5. Assignment: Rights to transfer the agreement - used when dealing with institutional clients

6. Survival: Provisions that continue after termination - used in complex advisory relationships

Suggested Schedules

1. Schedule A - Fee Structure: Detailed breakdown of fees, charges, and payment terms

2. Schedule B - Scope of Services: Detailed description of specific services, deliverables, and timelines

3. Schedule C - Risk Disclosure: Mandatory risk disclaimers and disclosures as per SEBI requirements

4. Schedule D - Client Investment Profile: Client's risk profile, investment objectives, and constraints

5. Appendix 1 - Advisor Credentials: Advisor's registrations, certifications, and qualifications

6. Appendix 2 - Compliance Declarations: Required regulatory declarations and compliance statements

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

Banking

Investment Management

Wealth Management

Professional Services

Corporate Advisory

Insurance

Real Estate

Private Equity

Family Office Services

Tax Advisory

Asset Management

Relevant Teams

Legal

Compliance

Finance

Investment Advisory

Wealth Management

Risk Management

Client Relations

Operations

Corporate Affairs

Business Development

Relevant Roles

Financial Advisor

Investment Consultant

Wealth Manager

Financial Planner

Investment Strategist

Portfolio Manager

Chief Investment Officer

Relationship Manager

Compliance Officer

Legal Counsel

Risk Manager

Managing Director

Chief Financial Officer

Investment Director

Find the exact document you need

Investment Profit Sharing Agreement

An Indian law-governed agreement establishing terms for investment and profit sharing between investors and businesses, including distribution mechanisms and party obligations.

��������Ƶ

How a Sales & Marketing Lead uses ��������Ƶ to reduce contract drafting time by 95%

Let's create your Financial Advisor Contract

Authors

Alex Denne

Find the exact document you need

Investment Profit Sharing Agreement

Share Holding Agreement

Property Investment Agreement

Managed Account Agreement

Share Partner Agreement

Capital Raising Agreement

Investment Contract For Small Business

Short Term Investment Contract

Share Trust Agreement

Mou Agreement For Investment In Business

Shareholders Agreement And Share Subscription Agreement

Purchase Term Sheet

Memorandum Of Agreement For Investment

Venture Capital Agreement

Startup Investment Term Sheet

Non Discretionary Investment Advisory Agreement

Loss Share Agreement

Investment Owners Contract

Discretionary Investment Advisory Agreement

Assignment Of Investment Advisory Contract

Agreement For Transfer Of Shares

Real Estate Private Equity Term Sheet

Stock Contribution Agreement

Designated Investment Agreement

Limited Partnership Agreement Venture Capital

Revenue Sharing Investment Agreement

Mezzanine Loan Term Sheet

Short Form Stock Purchase Agreement

Limited Partnership Term Sheet

Equity Share Agreement Startup

Stock Distribution Agreement

Joint Venture Agreement For Real Estate Investing

Debt Investment Agreement

Property Investment Contract

Stock Agreement

Mutual Fund Agreement

Investment Agency Agreement

Friends And Family Investment Agreement

Investment Commitment Agreement

Subscription Agreement Private Placement

Startup Investment Agreement

Letter Of Intent For Purchase Of Commercial Property

Equity Commitment Letter

Co Investment Agreement

Financial Advisor Contract

Joint Venture Investment Agreement

Repurchase Agreement

Stock Swap Agreement

Term Sheet For Acquisition Of Shares

Deed Of Assignment Of Shares Of Stock

Download our whitepaper on the future of AI in Legal

�ұ�Ծ���’s Security Promise

Your documents are private:

Your documents are protected:

Organizational security

Innovation in privacy:

Want to know more?

Use Cases

��Ƶ

How a Sales & Marketing Lead uses ��Ƶ to reduce contract drafting time by 95%

�ұ�Ծ��’s Security Promise