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Financial Advisor Contract

Financial Advisor Contract Template for United Arab Emirates

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Key Requirements PROMPT example:

Financial Advisor Contract Template

"I need a Financial Advisor Contract Template for my Dubai-based wealth management firm that specializes in Islamic finance, ensuring compliance with both UAE financial regulations and Sharia principles."

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The Financial Advisor Contract Template is designed for use in the United Arab Emirates to formalize relationships between financial advisors and their clients, whether individual or institutional. This template adheres to UAE federal laws and regulations, including requirements from the Central Bank and Securities and Commodities Authority (SCA). The document encompasses essential elements such as service scope, regulatory compliance, compensation structures, and risk management protocols. It's particularly relevant for financial advisory services within the UAE's unique market context, including both conventional and Islamic financial services. The template includes provisions for digital service delivery and cross-border advisory services where applicable, while maintaining compliance with UAE's regulatory framework. This contract template is structured to protect both advisor and client interests while ensuring transparency and regulatory compliance in financial advisory relationships.
Suggested Sections

1. Parties: Identification of the Financial Advisor and the Client, including full legal names, addresses, and registration details

2. Background: Context of the agreement, including advisor's qualifications and client's objectives

3. Definitions: Key terms used throughout the agreement, including technical financial terms and regulatory references

4. Scope of Services: Detailed description of financial advisory services to be provided, including specific areas of advice

5. Advisor's Obligations: Responsibilities and duties of the financial advisor, including fiduciary duties and regulatory compliance

6. Client's Obligations: Client's responsibilities, including providing accurate information and required documentation

7. Fees and Payment Terms: Compensation structure, payment schedule, and any additional charges

8. Confidentiality: Provisions for handling confidential information and client data protection

9. Regulatory Compliance: Compliance with UAE financial regulations and relevant authorities

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

11. Liability and Indemnification: Limitations of liability and indemnification provisions

12. Governing Law and Jurisdiction: Specification of UAE law application and jurisdiction for disputes

13. Notices: Communication protocols and official notice requirements

14. General Provisions: Standard contract clauses including assignment, amendment, and severability

Optional Sections

1. Investment Management: Include when advisor provides direct investment management services

2. Digital Services: Include when advisory services are provided through digital platforms

3. International Services: Include for cross-border advisory services

4. Sharia Compliance: Include for Islamic financial advisory services

5. Sub-Advisory Services: Include when third-party advisors may be engaged

6. Performance Reporting: Include when regular performance reporting is part of the service

7. Risk Disclosures: Include detailed risk warnings for specific investment strategies

8. Conflict Resolution: Include specific dispute resolution procedures beyond standard jurisdiction clause

Suggested Schedules

1. Schedule A - Fee Structure: Detailed breakdown of all fees, charges, and payment terms

2. Schedule B - Scope of Services Detail: Comprehensive list of specific services and deliverables

3. Schedule C - Investment Policy Statement: Client's investment objectives, constraints, and guidelines

4. Schedule D - Regulatory Disclosures: Required regulatory disclosures and risk warnings

5. Schedule E - Client Risk Profile: Client's risk assessment and investment suitability profile

6. Schedule F - Authorized Representatives: List of authorized persons who can act on behalf of each party

7. Appendix 1 - Professional Credentials: Advisor's qualifications, licenses, and registrations

8. Appendix 2 - Compliance Procedures: Details of compliance protocols and regulatory requirements

9. Appendix 3 - Service Level Standards: Performance standards and service delivery metrics

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

Wealth Management

Professional Services

Corporate Services

Islamic Finance

Insurance

Real Estate Investment

Private Equity

Asset Management

Family Office Services

Corporate Advisory

Investment Banking

Relevant Teams

Legal

Compliance

Risk Management

Wealth Management

Investment Advisory

Corporate Finance

Private Banking

Client Relations

Operations

Product Development

Investment Strategy

Portfolio Management

Financial Planning

Regulatory Affairs

Document Management

Relevant Roles

Financial Advisor

Wealth Manager

Investment Consultant

Financial Planner

Portfolio Manager

Chief Investment Officer

Compliance Officer

Legal Counsel

Risk Manager

Client Relationship Manager

Investment Strategist

Financial Services Director

Wealth Planning Specialist

Private Banking Manager

Corporate Finance Advisor

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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