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Financial Advisory Services Agreement
"I need a Financial Advisory Services Agreement for my Toronto-based wealth management firm to provide comprehensive financial planning and investment management services to high-net-worth individuals, with specific provisions for cross-border investments and tax planning."
1. Parties: Identification of the financial advisor/firm and the client, including full legal names and addresses
2. Background: Context of the agreement, advisor's registration status, and general purpose of the engagement
3. Definitions: Key terms used throughout the agreement, including technical financial and regulatory terminology
4. Scope of Services: Detailed description of financial advisory services to be provided, including specific inclusions and exclusions
5. Advisor's Obligations: Duties, responsibilities, and standard of care to be provided by the advisor, including regulatory compliance obligations
6. Client's Obligations: Client's responsibilities, including providing accurate information and required documentation
7. Fees and Payment Terms: Comprehensive fee structure, payment schedule, and billing procedures
8. Confidentiality: Obligations regarding protection and non-disclosure of confidential information
9. Privacy and Data Protection: Compliance with PIPEDA and handling of personal information
10. Term and Termination: Duration of agreement and circumstances under which either party may terminate
11. Liability and Indemnification: Limitations of liability and mutual indemnification provisions
12. Dispute Resolution: Process for resolving disputes, including jurisdiction and governing law
13. General Provisions: Standard clauses including entire agreement, amendments, assignment, and notices
1. Discretionary Authority: Include when advisor has authority to make investment decisions without prior client approval
2. Third-Party Services: Include when external service providers or sub-advisors may be engaged
3. Performance Reporting: Include when specific performance measurement and reporting standards are required
4. Investment Policy Statement: Include for clients requiring formal investment guidelines and restrictions
5. Succession Planning: Include when agreement covers business succession or estate planning services
6. Insurance Services: Include when advisor provides insurance-related advisory services
7. Tax Advisory Services: Include when tax planning advice is part of the service offering
8. Cross-Border Services: Include when services involve multiple jurisdictions
1. Schedule A - Fee Schedule: Detailed breakdown of all fees, charges, and compensation structure
2. Schedule B - Services Description: Comprehensive list and description of all services to be provided
3. Schedule C - Investment Policy Statement: Client's investment objectives, risk tolerance, and investment constraints
4. Schedule D - Client Information Form: KYC (Know Your Client) information and risk assessment documentation
5. Schedule E - Privacy Policy: Detailed privacy policy and information handling procedures
6. Appendix 1 - Regulatory Disclosures: Required regulatory disclosures and advisor's registration information
7. Appendix 2 - Risk Disclosure: Detailed description of investment risks and risk factors
8. Appendix 3 - Conflict of Interest Disclosure: Disclosure of potential conflicts of interest and how they are managed
Authors
Financial Services
Banking
Investment Management
Wealth Management
Professional Services
Insurance
Corporate Services
Private Equity
Family Office
Trust and Estate Planning
Real Estate Investment
Healthcare
Technology
Manufacturing
Legal
Compliance
Finance
Risk Management
Operations
Investment Management
Wealth Management
Client Services
Business Development
Administrative Services
Document Management
Regulatory Affairs
Financial Advisor
Investment Advisor
Wealth Manager
Portfolio Manager
Chief Investment Officer
Compliance Officer
Legal Counsel
Risk Manager
Chief Financial Officer
Business Development Manager
Relationship Manager
Trust Officer
Estate Planning Specialist
Tax Advisor
Investment Consultant
Operations Manager
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