The Financial Consulting Agreement serves as the primary document governing the relationship between financial consultants and their clients in the United States. This agreement is essential when engaging professional financial advisory services, whether for business strategy, investment guidance, or financial planning. It encompasses crucial elements such as service scope, compensation structures, confidentiality provisions, and regulatory compliance requirements. The document must align with federal regulations including the Investment Advisers Act of 1940 and state-specific financial advisory laws. It's particularly important for protecting both parties' interests and ensuring clear communication of expectations and deliverables.
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1. Parties: Identifies the consultant and client, including full legal names and addresses
2. Background: Explains the context and purpose of the agreement
3. Definitions: Defines key terms used throughout the agreement
4. Scope of Services: Details the specific financial consulting services to be provided
5. Term and Termination: Specifies duration of agreement and termination conditions
6. Compensation: Details fees, payment terms, and expenses
7. Confidentiality: Addresses handling of confidential information
8. Independent Contractor Status: Clarifies the relationship between parties
1. Non-Compete: Restricts consultant from competing activities when protecting client's business interests is crucial
2. Insurance Requirements: Specifies required insurance coverage when services involve significant financial risk
3. Intellectual Property Rights: Addresses ownership of work product when consultant develops proprietary materials or methods
4. Performance Metrics: Defines success criteria and KPIs when specific measurable outcomes are expected
1. Schedule A - Scope of Services: Detailed breakdown of services to be provided
2. Schedule B - Fee Schedule: Detailed fee structure and payment terms
3. Schedule C - Key Personnel: List of key team members and their roles
4. Appendix 1 - Compliance Requirements: Relevant regulatory requirements and compliance procedures
5. Appendix 2 - Service Level Agreement: Performance standards and response times
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