The Financial Advisory Services Agreement Template is designed for use in the United States when establishing professional relationships between financial advisors and their clients. This document is essential for compliance with SEC regulations, state securities laws, and fiduciary requirements. It covers crucial elements including service scope, fee structures, investment authority, and risk disclosures. The agreement is particularly important in today's complex regulatory environment, where clear documentation of advisor-client relationships is mandatory under various federal and state laws. It serves as a comprehensive framework for protecting both advisor and client interests while ensuring regulatory compliance.
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Financial Advisory Services Agreement Template
"I need a Financial Advisory Services Agreement Template for my wealth management firm to provide comprehensive financial planning and investment management services to high-net-worth individuals, with specific provisions for international clients and discretionary trading authority."
1. Parties: Identifies and defines the financial advisor and the client
2. Background: Establishes context, advisor's qualifications, and general purpose of the agreement
3. Definitions: Defines key terms used throughout the agreement
4. Scope of Services: Details the specific financial advisory services to be provided
5. Fees and Compensation: Outlines fee structure, payment terms, and expenses
6. Fiduciary Duties: States advisor's fiduciary obligations to the client
7. Term and Termination: Specifies agreement duration and termination conditions
8. Confidentiality: Addresses handling of confidential information
1. Investment Authority: Required if advisor has discretionary trading authority over client accounts
2. Third-Party Services: Covers use of external service providers and subcontractors
3. Insurance Requirements: Specifies required insurance coverage and minimum coverage amounts
1. Fee Schedule: Detailed breakdown of all fees and charges
2. Investment Policy Statement: Client's investment objectives and constraints
3. Privacy Policy: Advisor's privacy practices and procedures
4. Form ADV: SEC registration and disclosure document
5. Risk Disclosure Statement: Detailed explanation of investment risks
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