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Client Disclosure Agreement

Client Disclosure Agreement Template for Hong Kong

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Key Requirements PROMPT example:

Client Disclosure Agreement

"I need a Client Disclosure Agreement for my Hong Kong-based wealth management firm that handles both local and international clients, with specific provisions for cross-border data transfers and SFC compliance requirements, to be implemented by March 2025."

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Document background
The Client Disclosure Agreement is a crucial document required for businesses operating in regulated sectors within Hong Kong, particularly those providing financial, advisory, or professional services. It is mandated by various Hong Kong regulatory requirements, including those set by the Securities and Futures Commission (SFC) and under the Personal Data (Privacy) Ordinance. This agreement serves to protect both service providers and clients by clearly documenting the scope of information sharing, confidentiality obligations, and regulatory disclosures. It includes specific provisions for data protection, risk disclosures, and compliance with Hong Kong's regulatory framework, making it essential for establishing transparent business relationships and ensuring regulatory compliance in the Hong Kong market.
Suggested Sections

1. Parties: Identification of the service provider and the client, including full legal names and registration details

2. Background: Context of the agreement, relationship between parties, and purpose of the disclosure agreement

3. Definitions: Definitions of key terms used throughout the agreement, including regulatory terms and specific service-related terminology

4. Scope of Services: Description of services covered by the disclosure agreement

5. Information Collection and Use: Details of what information will be collected and how it will be used

6. Disclosure Obligations: Specific disclosures required by law and regulation, including risks, fees, and conflicts of interest

7. Confidentiality: Obligations regarding the protection and handling of confidential information

8. Data Privacy and Protection: Compliance with PDPO and data protection requirements

9. Regulatory Compliance: Statement of compliance with relevant Hong Kong regulations and laws

10. Term and Termination: Duration of the agreement and circumstances for termination

11. Governing Law and Jurisdiction: Specification of Hong Kong law and jurisdiction

Optional Sections

1. Electronic Communications: Terms regarding electronic delivery of documents and communications - include when services involve digital platforms

2. Third Party Services: Disclosures regarding third-party service providers - include when external services are part of the offering

3. Cross-Border Activities: Additional disclosures for cross-border services - include for international clients or services

4. Investment Risks: Detailed risk disclosures - include for investment-related services

5. Commission Disclosure: Details of commission arrangements - include when applicable to the service offering

6. Force Majeure: Provisions for unforeseen circumstances - include for long-term service arrangements

Suggested Schedules

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

2. Schedule 2 - Service Details: Comprehensive description of specific services and their terms

3. Schedule 3 - Risk Disclosure Statement: Detailed risk disclosures required by SFC regulations

4. Appendix A - Privacy Policy: Detailed privacy policy and data handling procedures

5. Appendix B - Regulatory Disclosures: Specific regulatory disclosures required by Hong Kong law

6. Appendix C - Contact Information: Key contact details and procedures for communications

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

Banking

Investment Management

Securities Trading

Insurance

Wealth Management

Professional Services

Corporate Services

Fund Management

Financial Technology

Relevant Teams

Legal

Compliance

Risk Management

Client Services

Business Development

Operations

Executive Management

Regulatory Affairs

Data Protection

Client Onboarding

Relevant Roles

Compliance Officer

Legal Counsel

Risk Manager

Client Relationship Manager

Business Development Director

Operations Manager

Chief Executive Officer

Chief Compliance Officer

General Counsel

Financial Advisor

Investment Manager

Company Secretary

Data Protection Officer

Regulatory Affairs Director

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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