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Financial Consulting Engagement Letter Template for India

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Key Requirements PROMPT example:

Financial Consulting Engagement Letter

"I need a Financial Consulting Engagement Letter for a tech startup seeking fundraising advisory services, including detailed scope for Series A preparation and investor presentation support, with an initial term of 6 months starting January 2025 and the option to extend for another 6 months."

Document background
The Financial Consulting Engagement Letter is a fundamental document used to formalize professional financial advisory relationships in India. It serves as the primary contract document between financial consulting firms or individual consultants and their clients, whether corporate entities or individuals seeking professional financial guidance. This document is essential when initiating any financial consulting arrangement and must comply with Indian legal requirements, including the Indian Contract Act, 1872, and relevant SEBI regulations where applicable. The letter typically outlines the scope of services, fee structures, delivery timelines, confidentiality provisions, and specific terms of engagement while incorporating necessary regulatory compliance elements required under Indian law. It's particularly important for protecting both parties' interests and ensuring clarity in professional service delivery expectations.
Suggested Sections

1. Date and Address Block: Formal business letter heading including date and client's complete address

2. Salutation and Introduction: Professional greeting and opening paragraph establishing the purpose of the engagement

3. Scope of Services: Detailed description of the financial consulting services to be provided, including specific deliverables and any limitations

4. Professional Fees: Clear outline of fee structure, billing rates, payment terms, and expenses

5. Timeline and Deliverables: Expected duration of engagement and specific milestones or deliverables

6. Team and Resources: Key personnel assigned to the engagement and their roles

7. Confidentiality: Commitments regarding the protection of client information and business secrets

8. Independence and Conflicts: Statement regarding consultant's independence and handling of potential conflicts of interest

9. Client Responsibilities: Clear outline of what is expected from the client, including information provision and cooperation

10. Termination Provisions: Conditions and process for ending the engagement

11. Acceptance and Execution: Signature blocks and instructions for accepting the engagement

Optional Sections

1. Regulatory Disclosures: Required when providing regulated financial advisory services or working with regulated entities

2. Non-Solicitation: Added when there's a need to prevent hiring of consulting firm's staff

3. Use of Technology: Include when services involve specific software, platforms, or digital tools

4. Force Majeure: Added when there's a need to address unforeseen circumstances or disruptions

5. Dispute Resolution: Optional section specifying mediation or arbitration preferences

6. Insurance Coverage: Include when specific professional liability insurance details need to be documented

7. Subcontractor Rights: Added when the consultant may need to engage third-party specialists

Suggested Schedules

1. Schedule A - Detailed Scope of Work: Comprehensive breakdown of services, methodologies, and specific tasks

2. Schedule B - Fee Schedule: Detailed breakdown of fees, rates, and payment milestones

3. Schedule C - Team Profiles: Biographical information and credentials of key team members

4. Appendix 1 - Required Documents: List of documents and information required from the client

5. Appendix 2 - Compliance Requirements: Specific regulatory or compliance requirements applicable to the engagement

6. Appendix 3 - Service Level Standards: Detailed performance metrics and service standards if applicable

Authors

Alex Denne

Head of Growth (Open Source Law) @ ¶¶Òõ¶ÌÊÓÆµ | 3 x UCL-Certified in Contract Law & Drafting | 4+ Years Managing 1M+ Legal Documents | Serial Founder & Legal AI Author

Relevant legal definitions



































Clauses






























Relevant Industries

Banking and Financial Services

Corporate Advisory

Investment Management

Professional Services

Management Consulting

Private Equity

Insurance

Real Estate

Technology

Manufacturing

Retail

Healthcare

Education

Non-Profit Organizations

Relevant Teams

Finance

Corporate Development

Treasury

Procurement

Legal

Compliance

Risk Management

Executive Leadership

Board of Directors

Investment

Strategy

Operations

Relevant Roles

Chief Financial Officer

Finance Director

Financial Controller

Treasury Manager

Investment Manager

Corporate Finance Manager

Financial Planning Manager

Business Development Director

Managing Director

Chief Executive Officer

Finance Manager

Procurement Manager

Risk Manager

Compliance Officer

Company Secretary

Board Director

Industries








Teams

Employer, Employee, Start Date, Job Title, Department, Location, Probationary Period, Notice Period, Salary, Overtime, Vacation Pay, Statutory Holidays, Benefits, Bonus, Expenses, Working Hours, Rest Breaks,  Leaves of Absence, Confidentiality, Intellectual Property, Non-Solicitation, Non-Competition, Code of Conduct, Termination,  Severance Pay, Governing Law, Entire Agreemen

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