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Financial Advisor Engagement Letter

Financial Advisor Engagement Letter Template for Malaysia

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Key Requirements PROMPT example:

Financial Advisor Engagement Letter

"I need a Financial Advisor Engagement Letter for my Malaysian wealth management firm to engage with individual high-net-worth clients, incorporating standard fee structures and basic investment advisory services, to be implemented from January 2025."

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Document background
The Financial Advisor Engagement Letter is a crucial document used in the Malaysian financial services industry to formalize the relationship between licensed financial advisors and their clients. This document is required when a financial advisor begins providing professional advisory services to clients in Malaysia, whether individuals or corporations. The letter must comply with the Capital Markets and Services Act 2007 and various Securities Commission Malaysia guidelines. It typically includes detailed service descriptions, fee structures, regulatory disclosures, and compliance requirements specific to the Malaysian jurisdiction. The engagement letter serves as both a regulatory compliance document and a commercial agreement, protecting both the advisor and client while ensuring transparency in the provision of financial advisory services.
Suggested Sections

1. Letter Header and Date: Formal business letter header including advisor's firm details, licensing information, and date

2. Client Details: Full name and address of the client

3. Engagement Overview: Brief introduction and purpose of the engagement letter

4. Scope of Services: Detailed description of financial advisory services to be provided

5. Fee Structure: Clear outline of fees, charges, and payment terms

6. Advisor's Obligations: Key responsibilities and duties of the financial advisor

7. Client's Obligations: Client's responsibilities and requirements for cooperation

8. Confidentiality: Confidentiality obligations and data protection commitments

9. Term and Termination: Duration of engagement and termination provisions

10. Regulatory Disclosures: Required disclosures under Malaysian financial regulations

11. Signature Block: Execution section with acknowledgment and acceptance provisions

Optional Sections

1. Investment Philosophy: Description of advisor's investment approach and methodology, used when providing comprehensive investment management services

2. Multiple Office Locations: Details of different office locations and service coverage, included when advisor operates from multiple locations

3. Team Structure: Information about the advisory team structure, included for larger engagements with multiple service providers

4. Specialized Services: Additional specialized services offered, included when engagement includes non-standard advisory services

5. Conflicts of Interest: Specific disclosures about potential conflicts, included when relevant to the engagement

6. International Services: Cross-border service provisions, included when dealing with international clients or investments

Suggested Schedules

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

2. Schedule B - Service Details: Detailed description of each service component and deliverables

3. Schedule C - Risk Disclosures: Required risk warnings and disclosures under Malaysian regulations

4. Appendix 1 - Client Risk Profile: Template for documenting client's risk tolerance and investment objectives

5. Appendix 2 - Regulatory Declarations: Standard regulatory declarations and compliance statements

6. Appendix 3 - Terms and Conditions: Detailed terms and conditions of the engagement

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

Wealth Management

Investment Management

Corporate Advisory

Private Banking

Insurance

Asset Management

Family Office Services

Corporate Finance

Private Equity

Retail Banking

Relevant Teams

Legal

Compliance

Risk Management

Wealth Management

Investment Advisory

Client Relations

Financial Planning

Portfolio Management

Operations

Business Development

Document Management

Investment Strategy

Private Banking

Relevant Roles

Financial Advisor

Wealth Manager

Investment Consultant

Portfolio Manager

Chief Investment Officer

Compliance Officer

Legal Counsel

Risk Manager

Client Relationship Manager

Financial Planning Director

Investment Strategist

Senior Financial Consultant

Managing Director

Head of Advisory Services

Private Banker

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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