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Financial Advisory Services Agreement Template Generator for the USA

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Key Requirements PROMPT example:

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."

Document background

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.

Suggested Sections

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

Optional Sections

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

Suggested Schedules

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

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

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Industries

Investment Advisers Act of 1940: Primary federal regulation governing investment advisers, requiring registration, disclosure, and establishing fiduciary duties to clients

Securities Exchange Act of 1934: Fundamental securities law governing securities transactions and requiring registration of broker-dealers

Dodd-Frank Act: Comprehensive financial reform law affecting advisory services, including heightened reporting requirements and fiduciary standards

Investment Company Act of 1940: Regulates the organization and operation of investment companies and their relationship with advisory firms

Bank Secrecy Act: Requires financial institutions to assist government agencies in detecting and preventing money laundering

USA PATRIOT Act: Extends BSA requirements and establishes customer identification programs for financial institutions

FINRA Regulations: Self-regulatory organization rules governing broker-dealers and registered representatives

Blue Sky Laws: State-specific securities regulations governing the offering and sale of securities within each state

State Investment Adviser Requirements: State-specific registration and compliance requirements for investment advisers managing under $110 million

Gramm-Leach-Bliley Act: Federal law requiring financial institutions to explain information-sharing practices and protect sensitive data

CFPB Regulations: Consumer Financial Protection Bureau rules protecting consumers in financial transactions

FTC Regulations: Federal Trade Commission rules governing unfair or deceptive business practices

CFA Institute Code of Ethics: Professional standards for chartered financial analysts including integrity, competence, and client priority

CFP Board Standards: Professional standards for certified financial planners including fiduciary duty and ethical conduct

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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