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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."
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
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
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
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
Finance
Corporate Development
Treasury
Procurement
Legal
Compliance
Risk Management
Executive Leadership
Board of Directors
Investment
Strategy
Operations
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
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