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Financial Advisor Contract

Financial Advisor Contract Template for Australia

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Key Requirements PROMPT example:

Financial Advisor Contract Template

"I need a Financial Advisor Contract Template for my boutique wealth management firm in Sydney, compliant with ASIC regulations, that specifically covers both personalized investment advice and SMSF services for high-net-worth individuals, to be implemented by March 2025."

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Document background
The Financial Advisor Contract Template is essential for establishing and maintaining compliant professional relationships between financial advisors and their clients in Australia. This document is designed for use when engaging new clients or updating existing service agreements, ensuring alignment with current Australian financial services regulations, including the Corporations Act 2001, ASIC requirements, and FASEA standards. The template covers crucial elements such as scope of services, fee structures, professional obligations, compliance requirements, and risk management protocols. It provides a foundation for financial advisory services while maintaining flexibility to accommodate various service offerings and client needs. The document includes specific provisions for Australian financial services licensing requirements, mandatory disclosures, and consumer protection measures, making it suitable for both individual and corporate client engagements.
Suggested Sections

1. Parties: Identification of the Financial Advisor/Firm and the Client, including ABN/ACN and AFSL details

2. Background: Context of the agreement, including advisor's qualifications and client's seeking of financial services

3. Definitions: Key terms used throughout the agreement, including regulatory and technical financial terms

4. Scope of Services: Detailed description of financial advisory services to be provided, including specific inclusions and exclusions

5. Term and Termination: Duration of the agreement and circumstances under which it can be terminated by either party

6. Fees and Payment Terms: Detailed fee structure, payment schedule, and method of payment

7. Advisor's Obligations: Core duties, professional standards, FASEA compliance, and service delivery commitments

8. Client's Obligations: Requirements for providing accurate information, cooperation, and timely responses

9. Compliance and Regulatory Requirements: Adherence to relevant laws, regulations, and professional standards

10. Confidentiality: Protection and handling of confidential information and client data

11. Privacy: Compliance with Privacy Act and handling of personal information

12. Liability and Indemnification: Limitation of liability and mutual indemnification provisions

13. Dispute Resolution: Process for handling disagreements and complaints

14. General Provisions: Standard clauses including governing law, notices, and assignment

Optional Sections

1. Investment Management: Include when offering direct investment management services or implementing investment recommendations

2. Insurance Advice: Include when providing insurance advice or product recommendations

3. Superannuation Services: Include when offering superannuation advice or SMSF services

4. Tax Advisory Services: Include when providing tax-related financial advice (requires appropriate licensing)

5. Estate Planning: Include when offering estate planning services or coordination with legal advisors

6. Third-Party Authorizations: Include when advisor needs authority to interact with other service providers

7. International Services: Include when providing advice on international investments or for non-resident clients

8. Digital Services: Include when providing online platforms, tools, or digital service delivery

Suggested Schedules

1. Schedule A - Fee Schedule: Detailed breakdown of all fees, charges, and commission structures

2. Schedule B - Service Package Details: Specific service packages or tiers offered and their inclusions

3. Schedule C - Authorized Representatives: List of authorized representatives who may provide services under the agreement

4. Schedule D - Investment Risk Profile: Client's risk profile assessment and investment strategy parameters

5. Appendix 1 - Financial Services Guide: Mandatory ASIC-required disclosure document

6. Appendix 2 - Advisor Qualifications: Advisor's licenses, certifications, and qualifications

7. Appendix 3 - Privacy Policy: Detailed privacy policy and data handling procedures

8. Appendix 4 - Compliance Procedures: Internal compliance procedures and regulatory requirements

Authors

Alex Denne

Head of Growth (Open Source Law) @ tiktok³ÉÈË°æ | 3 x UCL-Certified in Contract Law & Drafting | 4+ Years Managing 1M+ Legal Documents | Serial Founder & Legal AI Author

alex.den.21@genieai.co
Relevant legal definitions







































Clauses




































Relevant Industries

Financial Services

Wealth Management

Investment Banking

Insurance

Superannuation

Private Banking

Corporate Advisory

Professional Services

Financial Technology

Asset Management

Relevant Teams

Legal

Compliance

Risk Management

Financial Advisory

Wealth Management

Client Services

Operations

Business Development

Document Management

Professional Standards

Relevant Roles

Financial Advisor

Financial Planner

Wealth Manager

Investment Consultant

Compliance Officer

Legal Counsel

Risk Manager

Practice Manager

Client Services Manager

Operations Manager

Senior Financial Advisor

Managing Director

Chief Financial Officer

Compliance 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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