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Financial Advisor Engagement Letter Template for United Arab Emirates

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Key Requirements PROMPT example:

Financial Advisor Engagement Letter

"I need a Financial Advisor Engagement Letter for providing corporate finance advisory services to a UAE-based technology company for their upcoming IPO planned for March 2025, including detailed scope of services and success fee structures."

Document background
The Financial Advisor Engagement Letter is a crucial document used in the United Arab Emirates when establishing professional financial advisory relationships. It serves as the primary agreement defining the scope and terms of financial advisory services provided by licensed professionals to their clients. This document is essential for compliance with UAE regulatory requirements, including those set by the Securities and Commodities Authority (SCA) and the UAE Central Bank. The engagement letter typically outlines specific services to be provided, fee structures, delivery timeframes, and professional obligations while ensuring adherence to UAE federal laws governing financial services. It's particularly important in the UAE market where financial advisory services must often consider both conventional and Islamic finance principles, making it a comprehensive document that bridges professional services requirements with local regulatory compliance.
Suggested Sections

1. Letterhead and Date: Financial advisor's company details, address, licensing information, and date of the letter

2. Client Details: Full name and address of the client entity or individual

3. Introduction: Brief introduction establishing the context of the engagement and confirming the client's request for services

4. Scope of Services: Detailed description of the financial advisory services to be provided, including specific deliverables and any limitations

5. Team and Resources: Key personnel who will be involved in providing the services and their roles

6. Fees and Payment Terms: Detailed fee structure, payment schedule, and any additional costs or expenses

7. Duration and Termination: Term of the engagement and conditions for termination by either party

8. Confidentiality: Obligations regarding confidential information and data protection

9. Regulatory Compliance: Statement of compliance with UAE financial regulations and relevant authorities

10. Acceptance: Signature blocks and instructions for accepting the engagement

Optional Sections

1. Conflicts of Interest: Disclosure of any potential conflicts of interest - include when there are existing relationships with other clients that could affect the engagement

2. Performance Metrics: Specific KPIs or performance standards - include when the engagement includes performance-based elements

3. Client Obligations: Specific requirements from the client - include when significant client input or cooperation is needed

4. Force Majeure: Provisions for unforeseen circumstances - include for longer-term engagements

5. Insurance Coverage: Details of professional indemnity insurance - include for high-value advisory services

6. Dispute Resolution: Specific dispute resolution procedures - include for complex engagements or when requested by client

Suggested Schedules

1. Schedule A - Detailed Scope of Services: Comprehensive breakdown of services, methodologies, and deliverables

2. Schedule B - Fee Schedule: Detailed breakdown of fees, payment milestones, and expense categories

3. Schedule C - Key Personnel: Detailed information about key team members, their qualifications, and roles

4. Appendix 1 - Regulatory Disclosures: Required disclosures under UAE financial regulations

5. Appendix 2 - Terms and Conditions: Standard terms and conditions of the financial advisory firm

6. Appendix 3 - Client Information Requirements: List of information and documents required from the client

Authors

Alex Denne

Head of Growth (Open Source Law) @ tiktok³ÉÈ˰æ | 3 x UCL-Certified in Contract Law & Drafting | 4+ Years Managing 1M+ Legal Documents | Serial Founder & Legal AI Author

Relevant legal definitions








































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Relevant Industries

Financial Services

Banking

Investment Management

Corporate Finance

Private Equity

Real Estate

Islamic Finance

Manufacturing

Technology

Healthcare

Energy

Retail

Hospitality

Construction

Infrastructure

Relevant Teams

Legal

Finance

Compliance

Risk Management

Corporate Development

Treasury

Investment

Strategy

Business Development

Operations

Executive Management

Board of Directors

Advisory

Relevant Roles

Chief Financial Officer

Finance Director

Investment Manager

Financial Advisor

Corporate Finance Manager

Business Development Director

Treasury Manager

Risk Manager

Compliance Officer

Legal Counsel

Investment Banker

Portfolio Manager

Managing Director

Chief Executive Officer

Board Member

Financial Controller

Strategy Director

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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