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Financial Advisor Agreement

Financial Advisor Agreement Template for Austria

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Key Requirements PROMPT example:

Financial Advisor Agreement

"I need a Financial Advisor Agreement under Austrian law for providing personal investment advisory services to retail clients, with emphasis on consumer protection provisions and clear fee structures for portfolio management up to 鈧500,000."

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Document background
The Financial Advisor Agreement is essential for establishing a formal relationship between financial advisors and their clients in Austria. This document is required when providing professional financial advisory services under Austrian law, particularly in compliance with the Securities Supervision Act (WAG 2018) and Financial Market Authority (FMA) requirements. It covers crucial elements such as service scope, fee structures, risk disclosures, and regulatory obligations, while addressing both advisor and client responsibilities. The agreement is designed to protect both parties' interests while ensuring compliance with Austrian financial services regulations, consumer protection laws, and data protection requirements. It's particularly important for documenting the nature of financial advice provided and establishing clear boundaries of the advisory relationship.
Suggested Sections

1. Parties: Identification of the Financial Advisor and the Client, including licensing and registration details of the advisor

2. Background: Context of the agreement and brief description of the parties' intentions

3. Definitions: Key terms used throughout the agreement

4. Scope of Services: Detailed description of financial advisory services to be provided, including any limitations

5. Advisor's Obligations: Key responsibilities, duties, and standard of care of the financial advisor

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

7. Compliance with Regulations: Commitment to comply with relevant financial regulations and laws

8. Fees and Payment Terms: Compensation structure, payment schedule, and expenses

9. Risk Disclosures: Mandatory risk warnings and acknowledgments

10. Representations and Warranties: Statements of fact and promises made by both parties

11. Confidentiality: Protection of confidential information and trade secrets

12. Data Protection: GDPR compliance and data handling procedures

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

14. Term and Termination: Duration of agreement and termination provisions

15. Governing Law and Jurisdiction: Austrian law as governing law and jurisdiction for disputes

16. General Provisions: Miscellaneous legal provisions including notices, amendments, and severability

Optional Sections

1. Discretionary Management Authority: Required if the advisor has authority to make investment decisions without prior client approval

2. International Services: Required if services are provided across multiple jurisdictions

3. Consumer Protection Provisions: Additional provisions required when the client is a consumer under KSchG

4. Delegation and Sub-Advisory: Required if the advisor may delegate certain services to third parties

5. Performance Reporting: Detailed reporting requirements if regular performance updates are needed

6. Investment Restrictions: Specific investment restrictions or preferences of the client

7. Conflict Resolution Procedures: Detailed procedures for handling disputes before formal legal proceedings

8. Insurance Coverage: Details of professional liability insurance if required by client

Suggested Schedules

1. Schedule A - Services Description: Detailed description of all financial advisory services covered by the agreement

2. Schedule B - Fee Schedule: Comprehensive breakdown of all fees, charges, and payment terms

3. Schedule C - Risk Disclosure Statement: Detailed risk warnings and disclosures required by Austrian regulations

4. Schedule D - Client Investment Profile: Client's investment objectives, risk tolerance, and investment restrictions

5. Schedule E - Compliance Procedures: Detailed compliance procedures and requirements

6. Appendix 1 - Required Regulatory Disclosures: Mandatory disclosures required under WAG 2018 and other regulations

7. Appendix 2 - Data Processing Agreement: GDPR-compliant data processing terms and procedures

8. Appendix 3 - Contact Details: Contact information for key personnel and authorized representatives

Authors

Alex Denne

Head of Growth (Open Source Law) @ tiktok成人版 | 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

Private Banking

Corporate Finance

Asset Management

Insurance

Investment Advisory

Professional Services

Relevant Teams

Legal

Compliance

Finance

Investment Advisory

Wealth Management

Risk Management

Client Relations

Operations

Treasury

Corporate Finance

Relevant Roles

Financial Advisor

Investment Consultant

Wealth Manager

Portfolio Manager

Compliance Officer

Legal Counsel

Risk Manager

Client Relationship Manager

Investment Director

Chief Investment Officer

Financial Controller

Private Banking Manager

Investment Analyst

Chief Financial Officer

Treasury Manager

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, 聽Leaves of Absence, Confidentiality, Intellectual Property, Non-Solicitation, Non-Competition, Code of Conduct, Termination, 聽Severance Pay, Governing Law, Entire Agreemen

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