tiktok成人版

All Countries
Investment
Financial Advisor Contract

Financial Advisor Contract Template for Austria

Create a bespoke document in minutes, 聽or upload and review your own.

4.6 / 5
4.8 / 5

Let's create your Financial Advisor Contract

Thank you! Your submission has been received!
Oops! Something went wrong while submitting the form.

Get your first 2 documents free

Your data doesn't train Genie's AI

You keep IP ownership聽of your information

Key Requirements PROMPT example:

Financial Advisor Contract

"I need a Financial Advisor Contract for my wealth management firm based in Vienna, providing comprehensive investment advisory services to high-net-worth individuals, with specific provisions for discretionary portfolio management and quarterly performance reporting, to be implemented by March 2025."

Celebrated by
Collaborations with
Investors
Document background
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.
Suggested Sections

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

Optional Sections

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

Suggested Schedules

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

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

Insurance

Corporate Finance

Private Banking

Professional Services

Consulting

Asset Management

Relevant Teams

Legal

Compliance

Risk Management

Investment Advisory

Wealth Management

Client Services

Operations

Finance

Regulatory Affairs

Private Banking

Portfolio Management

Financial Planning

Relevant Roles

Financial Advisor

Investment Consultant

Wealth Manager

Portfolio Manager

Compliance Officer

Legal Counsel

Risk Manager

Client Relationship Manager

Chief Investment Officer

Financial Planning Director

Investment Strategy Director

Private Banking Manager

Regulatory Compliance Manager

General Counsel

Chief Financial Officer

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

Find the exact document you need

Bank Repurchase Agreement

Austrian law-governed Bank Repurchase Agreement for securities financing transactions between financial institutions, compliant with Austrian banking regulations and EU directives.

find out more

Investment Protection Agreement

A legal agreement under Austrian law establishing investment protection terms and safeguards for parties investing in Austrian jurisdiction.

find out more

Shareholders Agreement And Share Subscription Agreement

An Austrian law-governed agreement combining share subscription terms and ongoing shareholder relationships, including governance and share transfer provisions.

find out more

Letter Of Investment Agreement

An Austrian-law governed document establishing terms and conditions for capital investment in a company, including investment amount, equity allocation, and party obligations.

find out more

Company Investment Agreement

An Austrian law-governed agreement establishing terms and conditions for company investment, including share allocation, investor rights, and governance provisions.

find out more

Capital Investment Agreement

An Austrian law-governed agreement establishing terms and conditions for capital investment, including investment structure, rights, and regulatory compliance requirements.

find out more

Business Investment Contract

An Austrian law-governed agreement establishing terms and conditions for business investment, including investment amount, ownership rights, and investor protections.

find out more

Loss Share Agreement

An Austrian-law governed agreement establishing terms for sharing specified losses between parties, including calculation methods and settlement procedures under Austrian regulatory framework.

find out more

Investment Mandate Agreement

An Austrian law-governed agreement for discretionary investment management services, compliant with MiFID II and local regulatory requirements.

find out more

Agreement For Transfer Of Shares

An Austrian law-governed agreement documenting the transfer of company shares between parties, including terms, conditions, and regulatory compliance requirements.

find out more

Agreement For Sale Of Shares

An Austrian law-governed agreement documenting the terms and conditions for the sale and transfer of shares between parties, including purchase price, warranties, and completion requirements.

find out more

Investment Subscription Agreement

An Austrian law-governed agreement documenting the terms and conditions for investing in company shares or securities, ensuring compliance with local securities regulations.

find out more

Mezzanine Loan Term Sheet

An Austrian law-governed term sheet outlining the key terms and conditions of a mezzanine loan facility, including debt and equity-linked components.

find out more

Stock Agreement

An Austrian law-governed agreement for the sale and transfer of shares in a corporation, detailing terms, conditions, and compliance with Austrian corporate regulations.

find out more

Mezzanine Debt Term Sheet

An Austrian law-governed term sheet outlining key commercial and legal terms for a mezzanine debt financing arrangement, including facility terms, security structure, and regulatory requirements.

find out more

Investment Commitment Agreement

An Austrian law-governed agreement that establishes the terms and conditions for capital investment, including investment structure, timing, and parties' rights and obligations.

find out more

Financial Advisor Contract

An Austrian law-governed agreement establishing the terms and conditions for financial advisory services, compliant with WAG 2018 and related regulations.

find out more

Investment Advisory Agreement

Austrian law-governed Investment Advisory Agreement compliant with WAG 2018 and MiFID II, establishing terms for professional investment advisory services.

find out more

Stock Buyback Agreement

An Austrian law-governed agreement establishing terms for a company's repurchase of its own shares from existing shareholders.

find out more

Stock Swap Agreement

An Austrian law-governed agreement facilitating the exchange of shares between companies, detailing terms, valuations, and regulatory compliance requirements.

find out more

Investment Partnership Agreement

An Austrian law-governed agreement establishing an investment partnership structure (Kommanditgesellschaft) between general and limited partners, defining their rights, obligations, and investment terms.

find out more

Advisory Agreement

An Austrian-law governed contract establishing terms and conditions for professional advisory services, including scope, responsibilities, and compliance requirements.

find out more

Sub Advisor Agreement

An Austrian law-governed agreement establishing the delegation of investment management responsibilities between a primary advisor and sub-advisor, ensuring regulatory compliance and operational clarity.

find out more

Download our whitepaper on the future of AI in Legal

By providing your email address you are consenting to our Privacy Notice.
Thank you for downloading our whitepaper. This should arrive in your inbox shortly. In the meantime, why not jump straight to a section that interests you here: /our-research
Oops! Something went wrong while submitting the form.

骋别苍颈别鈥檚 Security Promise

Genie is the safest place to draft. Here鈥檚 how we prioritise your privacy and security.

Your documents are private:

We do not train on your data; 骋别苍颈别鈥檚 AI improves independently

All data stored on Genie is private to your organisation

Your documents are protected:

Your documents are protected by ultra-secure 256-bit encryption

Our bank-grade security infrastructure undergoes regular external audits

We are ISO27001 certified, so your data is secure

Organizational security

You retain IP ownership of your documents

You have full control over your data and who gets to see it

Innovation in privacy:

Genie partnered with the Computational Privacy Department at Imperial College London

Together, we ran a 拢1 million research project on privacy and anonymity in legal contracts

Want to know more?

Visit our for more details and real-time security updates.

Read our Privacy Policy.