Financial Advisor Agreement

Financial Advisor Agreement Template for Belgium

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Key Requirements PROMPT example:

"I need a Financial Advisor Agreement for my Belgian wealth management firm to provide services to high-net-worth retail clients, with specific provisions for international investment advisory and explicit compliance with MiFID II requirements."

Document background

The Financial Advisor Agreement is essential for establishing a formal relationship between financial advisors and their clients in Belgium. This document is required when providing professional financial advisory services under Belgian financial regulations and must comply with the Financial Services and Markets Authority (FSMA) requirements and MiFID II directives. It outlines crucial elements including service scope, fee structures, regulatory compliance obligations, and risk disclosures. The agreement is particularly important as it provides legal protection for both parties while ensuring transparency and compliance with Belgian financial services regulations. It should be used whenever a financial advisor or firm begins a new client relationship, whether with retail or professional clients, and must be updated to reflect any changes in regulatory requirements or service scope.

Suggested Sections

1. Parties: Identification of the Financial Advisor and the Client, including registration/license numbers and regulatory status

2. Background: Context of the agreement and confirmation of advisor's regulatory compliance status

3. Definitions: Key terms used throughout the agreement, including regulatory terminology

4. Scope of Services: Detailed description of financial advisory services to be provided, aligned with MiFID II requirements

5. Advisor's Obligations: Key responsibilities including duty of care, professional standards, and regulatory compliance obligations

6. Client's Obligations: Client's responsibilities including information provision and cooperation requirements

7. Fees and Payment: Fee structure, payment terms, and transparency requirements as per Belgian regulations

8. Conflicts of Interest: Disclosure and management of potential conflicts as required by MiFID II

9. Confidentiality: Confidentiality obligations and data protection compliance

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

11. Liability and Indemnification: Scope of liability and indemnification provisions in compliance with Belgian law

12. Governing Law and Jurisdiction: Confirmation of Belgian law application and jurisdiction

Optional Sections

1. Investment Restrictions: Specific investment restrictions or preferences, used when client has particular investment requirements or restrictions

2. Reporting Requirements: Detailed reporting obligations, included when specific reporting requirements are agreed

3. Sub-Advisory Services: Provisions for engaging sub-advisors, included when advisor may need to delegate certain services

4. Insurance Coverage: Professional indemnity insurance details, included when specific insurance requirements are agreed

5. Force Majeure: Provisions for unforeseen circumstances, included when specifically requested

6. Anti-Money Laundering Compliance: Detailed AML procedures, included when advisor handles client funds

7. International Services: Cross-border service provisions, included when advisor provides services across multiple jurisdictions

Suggested Schedules

1. Schedule 1 - Service Description: Detailed breakdown of specific financial advisory services to be provided

2. Schedule 2 - Fee Schedule: Detailed fee structure, including all charges and calculation methods

3. Schedule 3 - Client Risk Profile: Client's risk assessment and investment profile documentation

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

5. Appendix A - Communication Protocols: Agreed methods and frequency of communication

6. Appendix B - Advisor Qualifications: Details of advisor's qualifications and registrations

7. Appendix C - Compliance Procedures: Summary of relevant compliance procedures and requirements

Authors

Alex Denne

Head of Growth (Open Source Law) @ tiktok��˰� | 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

Wealth Management

Investment Management

Professional Services

Corporate Advisory

Private Banking

Insurance

FinTech

Asset Management

Relevant Teams

Legal

Compliance

Wealth Management

Investment Advisory

Risk Management

Client Services

Financial Planning

Portfolio Management

Operations

Business Development

Private Banking

Corporate Advisory

Relevant Roles

Financial Advisor

Wealth Manager

Investment Consultant

Chief Investment Officer

Compliance Officer

Legal Counsel

Risk Manager

Portfolio Manager

Client Relationship Manager

Investment Strategist

Chief Financial Officer

Head of Advisory Services

Private Banker

Financial Planning Director

Investment Advisory Director

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