Financial Consulting Engagement Letter

Financial Consulting Engagement Letter Generator for the USA

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Key Requirements PROMPT example:

"Need a Financial Consulting Engagement Letter for providing strategic financial planning services to a mid-size tech startup, with a focus on Series B fundraising preparation and monthly retainer fee structure starting March 2025."

Document background

The Financial Consulting Engagement Letter is a critical document used when establishing a professional financial advisory relationship. It serves as both a legal protection and a clear communication tool, detailing the scope of work, fee structure, and terms of service. In the United States, these letters must comply with various regulatory requirements, including SEC regulations, state-specific financial advisory laws, and professional standards. The document typically includes specific provisions for confidentiality, liability limitations, and regulatory disclosures, making it essential for both the consultant and client to clearly understand their rights and obligations.

Suggested Sections

1. Parties and Contact Information: Identification of consultant and client, including full legal names and addresses

2. Scope of Services: Detailed description of financial consulting services to be provided, including specific deliverables and responsibilities

3. Fee Structure and Payment Terms: Comprehensive details about compensation, billing rates, payment schedules, and expense reimbursement policies

4. Term and Timeline: Duration of engagement, key milestone dates, and project timeline

5. Confidentiality Obligations: Terms regarding protection of client information, data security requirements, and non-disclosure provisions

6. Professional Standards Compliance: Commitment to follow applicable professional standards, regulatory requirements, and industry best practices

Optional Sections

1. Parties and Contact Information: Identification of consultant and client, including full legal names and addresses

2. Scope of Services: Detailed description of financial consulting services to be provided, including specific deliverables and responsibilities

3. Fee Structure and Payment Terms: Comprehensive details about compensation, billing rates, payment schedules, and expense reimbursement policies

4. Term and Timeline: Duration of engagement, key milestone dates, and project timeline

5. Confidentiality Obligations: Terms regarding protection of client information, data security requirements, and non-disclosure provisions

6. Professional Standards Compliance: Commitment to follow applicable professional standards, regulatory requirements, and industry best practices

Suggested Schedules

1. Schedule A - Fee Schedule: Detailed breakdown of all fees, charges, and payment terms

2. Schedule B - Form ADV: SEC registration document for investment advisers including required disclosures

3. Schedule C - Professional Qualifications: Documentation of credentials, certifications, and qualifications of key team members

4. Schedule D - Service Level Agreement: Detailed performance metrics, service standards, and response times

Authors

Alex Denne

Head of Growth (Open Source Law) @ ��Ƶ | 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

Services

Confidential Information

Business Day
Intellectual Property Rights

Affiliate

Force Majeure Event

Term
Termination Date
Effective Date

Clauses

Relevant Industries

Financial Services
Professional Services
Corporate
Private Equity

Relevant Teams

Finance Department
Legal Department
Procurement
Compliance
Treasury

Relevant Roles

Financial Consultant
Chief Financial Officer
Financial Advisory Director
Treasury Manager
Investment Advisor

Industries

Securities Exchange Act 1934: Federal law governing securities trading and broker-dealer registration, relevant if the consulting engagement involves securities-related advice

Investment Advisers Act 1940: Federal law regulating investment advisers, must be considered if the consulting services include investment advice

Dodd-Frank Act: Comprehensive financial reform legislation affecting financial services and consulting, including whistleblower provisions and disclosure requirements

Sarbanes-Oxley Act 2002: Federal law establishing enhanced standards for public companies and their advisors, particularly relevant if consulting for public companies

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

Blue Sky Laws: State-specific securities regulations that may affect financial consulting services provided within particular states

AICPA Professional Standards: Professional guidelines and ethical requirements set by the American Institute of CPAs for accounting and financial professionals

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

Federal Trade Commission Act: Federal consumer protection law prohibiting unfair or deceptive practices in commerce

USA PATRIOT Act: Federal law including provisions for preventing money laundering and requiring customer identification programs

State Professional Services Laws: State-specific regulations governing professional service contracts and financial consulting engagements

CFA Institute Code of Ethics: Professional standards and ethical guidelines for Chartered Financial Analysts and related professionals

FINRA Regulations: Rules and regulations set by the Financial Industry Regulatory Authority for securities industry participants

State Data Privacy Laws: State-specific requirements for protecting and handling client personal and financial information

State Consumer Protection Laws: State-specific regulations protecting consumers from unfair business practices in financial services

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Financial Consulting Engagement Letter Generator for the USA

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