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Financial Advisory Agreement

Financial Advisory Agreement Template for Qatar

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Key Requirements PROMPT example:

Financial Advisory Agreement

"I need a Financial Advisory Agreement for a Qatar-based wealth management firm providing services to high-net-worth individuals, with specific provisions for both conventional and Islamic finance advisory services and portfolio management."

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Document background
The Financial Advisory Agreement is a crucial document used when establishing a professional relationship between a financial advisor and their client in Qatar. It serves as the primary contract governing the provision of financial advisory services, whether within or outside the Qatar Financial Centre (QFC). This agreement is essential for compliance with Qatar's financial regulations, including QFC Financial Services Regulations and Qatar Central Bank requirements. It typically covers comprehensive service descriptions, fee structures, regulatory compliance obligations, risk disclosures, and confidentiality requirements. The document is particularly important for financial institutions operating in Qatar, as it helps ensure compliance with local laws while protecting both advisor and client interests. It can be customized for various types of financial advisory services, from investment consulting to corporate finance advisory, and may include provisions for both conventional and Shariah-compliant advisory services.
Suggested Sections

1. Parties: Identification of the financial advisor and the client, including regulatory status and contact details

2. Background: Context of the agreement and brief description of the advisory services to be provided

3. Definitions: Key terms used throughout the agreement, including regulatory terminology

4. Appointment and Scope of Services: Detailed description of the advisory services, including any limitations

5. Regulatory Status and Compliance: Statements regarding regulatory authorizations and compliance obligations

6. Client Obligations: Client's responsibilities, including providing accurate information and documentation

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

8. Representations and Warranties: Key statements and guarantees from both parties

9. Confidentiality: Obligations regarding confidential information and data protection

10. Conflicts of Interest: Procedures for identifying and managing potential conflicts

11. Risk Disclosures: Mandatory risk warnings and disclaimers

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

13. Term and Termination: Duration of agreement and termination provisions

14. Governing Law and Jurisdiction: Qatar law provisions and dispute resolution mechanisms

15. General Provisions: Standard boilerplate clauses including notices, amendments, and assignment

Optional Sections

1. Investment Guidelines: Used when providing specific investment advisory services with defined parameters

2. International Transactions: Required when advisory services involve cross-border elements

3. Shariah Compliance: Included when advisory services need to comply with Islamic financial principles

4. Team and Key Personnel: Used when specific individuals are crucial to service delivery

5. Research Services: Required when research reports or analysis are part of the services

6. Performance Reporting: Included when regular performance reporting is part of the service scope

7. Sub-Advisory Arrangements: Used when third-party advisors may be involved

8. Force Majeure: Detailed force majeure provisions beyond standard general provisions

Suggested Schedules

1. Schedule 1 - Services Description: Detailed scope of advisory services and deliverables

2. Schedule 2 - Fee Schedule: Detailed breakdown of fees, charges, and payment terms

3. Schedule 3 - Authorized Representatives: List of authorized persons who can give/receive instructions

4. Schedule 4 - Compliance Requirements: Specific regulatory and compliance obligations

5. Appendix A - Required Documents: List of documents required from the client for KYC/AML compliance

6. Appendix B - Risk Disclosure Statement: Detailed risk warnings and disclaimers

7. Appendix C - Service Level Standards: Performance standards and response times for services

8. Appendix D - Privacy Policy: Detailed data protection and privacy procedures

Authors

Alex Denne

Head of Growth (Open Source Law) @ ¶¶Òõ¶ÌÊÓƵ | 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














































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Relevant Industries

Financial Services

Banking

Investment Management

Corporate Finance

Private Equity

Real Estate

Infrastructure

Energy

Healthcare

Technology

Manufacturing

Professional Services

Insurance

Islamic Finance

Relevant Teams

Legal

Compliance

Finance

Corporate Finance

Wealth Management

Risk Management

Business Development

Investment Management

Operations

Client Relations

Advisory Services

Contract Management

Relevant Roles

Chief Financial Officer

Legal Counsel

Compliance Officer

Financial Advisor

Investment Manager

Corporate Finance Director

Wealth Management Advisor

Risk Manager

Business Development Manager

Portfolio Manager

Managing Director

Head of Advisory Services

Investment Consultant

General Counsel

Chief Executive Officer

Contract Manager

Relationship Manager

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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