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Financial Advisory Services Agreement

Financial Advisory Services Agreement Template for Canada

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Key Requirements PROMPT example:

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."

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Document background
The Financial Advisory Services Agreement serves as the foundational document for establishing and governing the professional relationship between financial advisors and their clients in Canada. This agreement is essential for compliance with regulatory requirements set forth by provincial securities regulators, IIROC, and federal legislation. It is typically used when engaging new clients for comprehensive financial advisory services, including investment management, financial planning, retirement planning, or specialized advisory services. The agreement incorporates crucial elements such as service scope, fee structures, fiduciary duties, privacy protection, and risk disclosures, while ensuring compliance with Canadian regulatory frameworks including securities laws, PIPEDA, and anti-money laundering regulations. It's designed to protect both the advisor's and client's interests while providing a clear framework for the delivery of professional financial advisory services.
Suggested Sections

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

Optional Sections

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

Suggested Schedules

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

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











































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Relevant Industries

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

Relevant Teams

Legal

Compliance

Finance

Risk Management

Operations

Investment Management

Wealth Management

Client Services

Business Development

Administrative Services

Document Management

Regulatory Affairs

Relevant Roles

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

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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