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Investment Advisory Agreement Template for United Arab Emirates

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Key Requirements PROMPT example:

Investment Advisory Agreement Template

"I need an Investment Advisory Agreement Template for a UAE-based wealth management firm providing services to high-net-worth individuals, with specific provisions for Shariah-compliant investment options and cross-border transactions by March 2025."

Document background
The Investment Advisory Agreement Template is designed for use in the United Arab Emirates financial services sector, providing a structured framework for investment advisory relationships. This document is essential for financial institutions and advisory firms operating under UAE Securities and Commodities Authority (SCA) supervision. It covers crucial aspects including service scope definition, regulatory compliance, risk management, and fee arrangements, while incorporating specific UAE market requirements and practices. The template is adaptable for various client types, from individual investors to institutional clients, and includes provisions for both conventional and Shariah-compliant advisory services. It's particularly relevant in the context of UAE's growing position as a regional financial hub, requiring strict adherence to local regulatory requirements while maintaining international best practices.
Suggested Sections

1. Parties: Identification of the investment advisor and the client, including licensing details and registration information as per UAE SCA requirements

2. Background: Context of the agreement, regulatory framework, and brief overview of the intended advisory relationship

3. Definitions: Key terms used throughout the agreement, including regulatory-specific terminology as per UAE laws

4. Appointment and Scope of Services: Detailed description of investment advisory services to be provided, including any limitations and exclusions

5. Regulatory Status and Compliance: Statement of advisor's regulatory status, relevant licenses, and compliance with UAE SCA regulations

6. Client Representatives and Communications: Designation of authorized representatives and approved methods of communication

7. Fees and Payment Terms: Detailed fee structure, payment schedule, and any additional charges

8. Client's Obligations and Representations: Client's responsibilities, including information provision and compliance with local laws

9. Risk Disclosures: Mandatory risk warnings and disclosures as per UAE regulations

10. Confidentiality: Confidentiality obligations and permitted disclosures

11. Conflicts of Interest: Disclosure and management of potential conflicts as per UAE SCA requirements

12. Term and Termination: Duration of agreement and termination provisions

13. Liability and Indemnification: Extent of advisor's liability and mutual indemnification provisions

14. Governing Law and Jurisdiction: UAE law as governing law and jurisdiction for disputes

15. General Provisions: Standard boilerplate clauses including amendments, assignments, and notices

Optional Sections

1. Shariah Compliance: Required when offering Shariah-compliant advisory services, including relevant principles and oversight

2. Research Services: Include when providing investment research as part of advisory services

3. Portfolio Review: When periodic portfolio review services are included in the scope

4. Online Services Access: When providing access to online platforms or digital services

5. Sub-Advisory Arrangements: When involving third-party advisors or specialists

6. International Transactions: When advice includes cross-border investments or international securities

7. Local Agent Provisions: Required for foreign advisory firms operating in UAE

Suggested Schedules

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

2. Schedule 2: Investment Guidelines: Specific investment parameters, restrictions, and preferences

3. Schedule 3: Authorized Persons: List of authorized representatives and their powers

4. Schedule 4: Services Description: Detailed scope of advisory services and deliverables

5. Appendix A: Risk Disclosure Statement: Comprehensive risk disclosures as required by UAE SCA

6. Appendix B: Compliance Requirements: Specific regulatory compliance requirements and procedures

7. Appendix C: Communication Protocols: Agreed communication methods and response times

8. Appendix D: Required Client Documentation: List of required KYC and other client documentation

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


















































Clauses




































Relevant Industries

Financial Services

Investment Management

Banking

Wealth Management

Asset Management

Private Equity

Family Office Services

Corporate Finance

Islamic Finance

Professional Services

Investment Banking

Fund Management

Relevant Teams

Legal

Compliance

Investment Advisory

Risk Management

Client Relations

Operations

Business Development

Wealth Management

Portfolio Management

Corporate Finance

Islamic Finance

Executive Management

Relevant Roles

Chief Investment Officer

Investment Advisor

Compliance Officer

Legal Counsel

Risk Manager

Portfolio Manager

Wealth Manager

Financial Advisor

Investment Consultant

Client Relationship Manager

Chief Executive Officer

Head of Investment Advisory

Legal Director

Compliance Director

Operations Manager

Business Development Manager

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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