The Financial Consulting Services Agreement is essential for establishing professional financial advisory relationships in Switzerland. It is designed to comply with strict Swiss regulatory requirements, particularly the Federal Act on Financial Services (FinSA/FIDLEG) and the Federal Act on Financial Institutions (FinIA). This agreement is typically used when a financial consultant or advisory firm provides professional financial guidance, investment advice, or strategic financial planning services to clients. The document incorporates mandatory regulatory elements including client classification, risk disclosures, and duty of care obligations, while also addressing practical aspects such as service scope, fees, and confidentiality. It's particularly important in the Swiss context due to the jurisdiction's sophisticated financial services regulatory framework and its position as a global financial center.
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1. Parties: Identification of the financial consultant and the client, including registration/license numbers and regulatory status
2. Background: Context of the agreement and brief description of the parties' intentions
3. Definitions: Definitions of key terms used throughout the agreement
4. Scope of Services: Detailed description of the financial consulting services to be provided
5. Regulatory Compliance: Obligations regarding FinSA/FIDLEG compliance and other applicable regulations
6. Client Classification: Classification of the client according to FinSA categories (retail/professional/institutional)
7. Duties and Obligations: Specific responsibilities of both parties, including information provision and cooperation
8. Fees and Payment Terms: Detailed fee structure, payment schedule, and expenses
9. Representations and Warranties: Key statements and guarantees from both parties
10. Confidentiality and Data Protection: Obligations regarding client data protection and business confidentiality
11. Liability and Indemnification: Limitation of liability and indemnification provisions
12. Term and Termination: Duration of agreement and termination provisions
13. Dispute Resolution: Procedure for resolving disputes, including jurisdiction and applicable law
14. General Provisions: Standard boilerplate clauses including notices, amendments, and severability
1. International Services: Additional provisions for cross-border services, required when serving clients outside Switzerland
2. Sub-contractors: Provisions regarding the appointment and management of sub-contractors, if applicable
3. Intellectual Property: IP rights and usage provisions, particularly relevant for proprietary analysis tools or methodologies
4. Insurance: Specific insurance requirements and coverage obligations
5. Force Majeure: Provisions for unforeseen circumstances preventing performance
6. Non-Solicitation: Restrictions on soliciting employees or clients, if required
7. Business Continuity: Provisions for ensuring service continuity, particularly important for institutional clients
8. Reporting Requirements: Specific reporting obligations, particularly relevant for regulated clients
1. Schedule 1: Service Description: Detailed description of specific financial consulting services and deliverables
2. Schedule 2: Fee Schedule: Detailed breakdown of fees, rates, and payment terms
3. Schedule 3: Service Levels: Performance metrics and service level commitments
4. Schedule 4: Key Personnel: Details of key team members and their qualifications
5. Schedule 5: Compliance Requirements: Specific regulatory and compliance obligations
6. Appendix A: Data Processing Agreement: Detailed terms for processing personal data in compliance with FADP
7. Appendix B: Required Disclosures: Mandatory disclosures under FinSA and other regulations
8. Appendix C: Client Classification Documentation: Documentation supporting client classification under FinSA
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