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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."
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
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
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
Financial Services
Banking
Investment Management
Corporate Finance
Private Equity
Real Estate
Islamic Finance
Manufacturing
Technology
Healthcare
Energy
Retail
Hospitality
Construction
Infrastructure
Legal
Finance
Compliance
Risk Management
Corporate Development
Treasury
Investment
Strategy
Business Development
Operations
Executive Management
Board of Directors
Advisory
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
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