The Financial Advisory Services Agreement Template is designed for use in the United Arab Emirates financial services sector, providing a robust framework for establishing professional financial advisory relationships. This template is essential for financial institutions, advisory firms, and wealth management companies operating under UAE jurisdiction, ensuring compliance with UAE Federal Law No. 14 of 2018 (Central Bank Law), SCA regulations, and other relevant financial services regulations. The agreement template includes comprehensive provisions for service scope definition, regulatory compliance, client classification, risk management, and fee structures, making it suitable for both conventional and Islamic financial advisory services. It can be customized based on specific advisory services offered, client type (retail or professional), and whether the services are provided in mainland UAE or financial free zones like DIFC and ADGM.
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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 the advisor's qualifications and regulatory authorizations
3. Definitions: Key terms used throughout the agreement, including specific financial and regulatory terminology
4. Scope of Services: Detailed description of the financial advisory services to be provided, including any limitations
5. Client Classification: Classification of the client according to UAE regulatory requirements (retail/professional/market counterparty)
6. Regulatory Compliance: Compliance with UAE financial regulations and applicable laws
7. Fees and Payment Terms: Detailed fee structure, payment schedule, and any additional charges
8. Rights and Obligations: Specific responsibilities and obligations of both the advisor and the client
9. Conflicts of Interest: Disclosure and management of potential conflicts of interest
10. Confidentiality: Protection and handling of confidential information and client data
11. Term and Termination: Duration of the agreement and circumstances for termination
12. Liability and Indemnification: Limitations of liability and indemnification provisions
13. Force Majeure: Provisions for unforeseen circumstances affecting performance
14. Governing Law and Jurisdiction: Specification of UAE law as governing law and jurisdiction for disputes
15. General Provisions: Standard boilerplate clauses including notices, amendments, and assignment
1. Investment Restrictions: Specific investment restrictions or preferences of the client - include when providing investment advisory services
2. Performance Reporting: Details of performance measurement and reporting - include when ongoing portfolio monitoring is part of the service
3. Sub-Advisory Services: Provisions for engaging sub-advisors - include when sub-advisors may be used
4. Cross-Border Services: Additional provisions for cross-border advisory services - include when serving clients in multiple jurisdictions
5. Electronic Services: Terms for digital/online advisory services - include when providing robo-advisory or digital services
6. Shariah Compliance: Islamic finance compliance provisions - include when providing Shariah-compliant advisory services
7. Research Services: Terms for providing research and analysis - include when research is a specific service offering
8. Corporate Advisory: Specific terms for corporate clients - include when providing corporate advisory services
1. Schedule 1 - Service Description: Detailed breakdown of specific advisory services and deliverables
2. Schedule 2 - Fee Schedule: Comprehensive fee structure including all charges and payment terms
3. Schedule 3 - Client Classification Documentation: Documents supporting client classification and suitability assessment
4. Schedule 4 - Risk Disclosure Statement: Mandatory risk disclosures as per UAE regulations
5. Schedule 5 - Compliance Requirements: Specific regulatory and compliance requirements applicable to the services
6. Appendix A - Key Personnel: Details of key advisory team members and their qualifications
7. Appendix B - Service Level Standards: Performance standards and service level commitments
8. Appendix C - Required Disclosures: Mandatory disclosures required under UAE financial regulations
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