The Investment Advisor Contract is a crucial document used in the UAE financial services sector to formalize the relationship between investment advisors and their clients. It is specifically designed to comply with UAE Securities and Commodities Authority (SCA) regulations, Federal Law No. 14 of 2018, and other relevant UAE financial services legislation. This contract is essential when an investment advisor or firm provides professional investment advice, portfolio management recommendations, or related services to clients in the UAE. The document encompasses regulatory requirements, service scope, fee structures, risk disclosures, and compliance obligations, while addressing both conventional and Islamic finance considerations where applicable. It serves as a fundamental tool for protecting both advisor and client interests while ensuring regulatory compliance in the UAE investment advisory landscape.
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1. Parties: Identification of the Investment Advisor and the Client, including full legal names, addresses, and registration details
2. Background: Context of the agreement and brief description of the parties' intentions
3. Definitions: Definitions of key terms used throughout the agreement
4. Appointment and Scope of Services: Formal appointment of the advisor and detailed description of investment advisory services to be provided
5. Regulatory Compliance: Acknowledgment and compliance with UAE regulatory requirements, including SCA regulations
6. Advisor's Obligations: Detailed responsibilities of the advisor, including duty of care, reporting obligations, and service standards
7. Client's Obligations: Client's responsibilities, including providing accurate information and necessary documentation
8. Fees and Payment Terms: Detailed fee structure, payment schedule, and calculation methods
9. Representations and Warranties: Core representations and warranties from both parties
10. Confidentiality: Obligations regarding confidential information and client data protection
11. Conflicts of Interest: Procedures for identifying, disclosing, and managing conflicts of interest
12. Term and Termination: Duration of the agreement and termination provisions
13. Liability and Indemnification: Limitations of liability and mutual indemnification provisions
14. Force Majeure: Provisions for unforeseen circumstances affecting contract performance
15. Governing Law and Jurisdiction: Specification of UAE law as governing law and jurisdiction for disputes
16. General Provisions: Standard boilerplate clauses including notices, amendments, and severability
1. Custody of Client Assets: Required if the advisor has any custody or control over client funds or securities
2. International Transactions: Required for cross-border investment advisory services
3. Shariah Compliance: Required for Islamic investment advisory services
4. Sub-Advisory Arrangements: Required if the advisor will engage other advisors or sub-contractors
5. Performance Reporting: Optional detailed procedures for performance calculation and reporting
6. Non-Competition: Optional restrictions on advisor's activities with competing clients
7. Insurance: Optional specific insurance requirements beyond regulatory minimums
8. Marketing and Referrals: Optional terms regarding marketing of services and client referrals
1. Schedule 1 - Fee Schedule: Detailed breakdown of all fees, charges, and calculation methods
2. Schedule 2 - Investment Policy Statement: Client's investment objectives, constraints, and guidelines
3. Schedule 3 - Authorized Persons: List of authorized representatives for both parties
4. Schedule 4 - Reporting Requirements: Specific reporting formats, frequency, and content requirements
5. Schedule 5 - Service Level Agreement: Detailed service standards and performance metrics
6. Appendix A - Required Disclosures: Regulatory disclosures required under UAE law
7. Appendix B - Risk Disclosures: Detailed risk warnings and disclaimers
8. Appendix C - Compliance Procedures: Details of compliance requirements and procedures
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