The Financial Advisor Contract serves as a foundational document for establishing professional financial advisory relationships in Austria. It is essential for compliance with the Austrian Securities Supervision Act 2018 (WAG 2018), the Banking Act (BWG), and other relevant financial regulations. This contract is typically used when engaging a financial advisor for services such as investment advice, portfolio management, or general financial planning. The document outlines critical elements including service scope, fee structures, advisor obligations, client responsibilities, and regulatory compliance requirements. It should be customized based on whether the client qualifies as a retail or professional investor under Austrian law, and must incorporate specific disclosures and protections mandated by Austrian financial regulations and EU directives.
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1. Parties: Identification of the Financial Advisor and the Client, including registration/license numbers and contact details
2. Background: Context of the agreement and confirmation of advisor's qualifications and regulatory status
3. Definitions: Key terms used throughout the agreement, including regulatory and technical financial terms
4. Scope of Services: Detailed description of financial advisory services to be provided, including any limitations
5. Advisor's Obligations: Key responsibilities including due diligence, reporting, and regulatory compliance obligations
6. Client's Obligations: Client's responsibilities including information provision and cooperation requirements
7. Fees and Payment Terms: Compensation structure, payment schedule, and any additional costs
8. Conflicts of Interest: Disclosure and management of potential conflicts of interest
9. Confidentiality and Data Protection: Privacy obligations, GDPR compliance, and data handling procedures
10. Term and Termination: Duration of the agreement and termination provisions
11. Liability and Indemnification: Extent and limitations of advisor's liability and indemnification provisions
12. Regulatory Compliance: Compliance with WAG 2018 and other applicable regulations
13. Governing Law and Jurisdiction: Austrian law as governing law and jurisdiction for disputes
14. Miscellaneous: Standard provisions including notices, amendments, and severability
1. Investment Policy Guidelines: Used when providing ongoing investment management services, defining investment strategies and restrictions
2. Performance Reporting: Include when regular performance reporting is part of the service offering
3. Third-Party Services: Required when external service providers or sub-advisors are involved
4. Special Risk Disclosures: Additional risk disclosures for complex financial instruments or strategies
5. International Services: Include when providing cross-border advisory services
6. Professional Client Status: Special provisions when client qualifies as a professional investor under WAG 2018
1. Schedule A - Detailed Service Description: Comprehensive list and description of all advisory services provided
2. Schedule B - Fee Schedule: Detailed breakdown of all fees, charges, and payment terms
3. Schedule C - Client Risk Profile: Client's investment objectives, risk tolerance, and investment restrictions
4. Schedule D - Required Disclosures: Mandatory regulatory disclosures and risk warnings
5. Appendix 1 - Advisor Qualifications: Details of advisor's licenses, registrations, and qualifications
6. Appendix 2 - Compliance Procedures: Summary of relevant compliance procedures and client protections
7. Appendix 3 - Privacy Policy: Detailed data protection and privacy policies
8. Appendix 4 - Execution Policy: Procedures for handling client orders and best execution policies where applicable
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