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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."
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
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
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
Financial Services
Investment Management
Banking
Wealth Management
Asset Management
Private Equity
Family Office Services
Corporate Finance
Islamic Finance
Professional Services
Investment Banking
Fund Management
Legal
Compliance
Investment Advisory
Risk Management
Client Relations
Operations
Business Development
Wealth Management
Portfolio Management
Corporate Finance
Islamic Finance
Executive Management
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
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