The Investment Advisory Agreement is a critical document used when establishing a formal investment advisory relationship between a licensed financial advisor and a client in Germany. It is designed to meet the stringent requirements of German financial regulations, including the Securities Trading Act (WpHG) and the German Banking Act (KWG). This agreement is essential for any firm providing investment advice in Germany and must include specific regulatory disclosures, client classification, risk warnings, and detailed service descriptions. It should be used whenever a regulated entity provides investment advisory services to clients, whether retail or institutional, and must reflect the advisor's obligations under MiFID II as implemented in German law. The document includes comprehensive provisions for fee structures, conflict management, and data protection, ensuring compliance with both financial services regulations and GDPR requirements.
Create a bespoke document in minutes, or upload and review your own.
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:
Investment Advisory Agreement
"I need an Investment Advisory Agreement for our wealth management firm in Munich, focusing on high-net-worth individual clients with portfolios over 鈧2M, including specific provisions for ESG investment strategies and digital reporting services to be launched in March 2025."
1. Parties: Identification of the investment advisor and the client, including regulatory status and contact details
2. Background: Context of the agreement and brief description of the services to be provided
3. Definitions: Key terms used throughout the agreement
4. Scope of Services: Detailed description of investment advisory services, including any limitations
5. Advisor's Obligations: Duties and responsibilities of the advisor, including regulatory obligations
6. Client's Obligations: Client's responsibilities, including information provision and cooperation
7. Investment Profile and Strategy: Client's investment objectives, risk tolerance, and agreed investment strategy
8. Fees and Payments: Fee structure, calculation method, and payment terms
9. Conflicts of Interest: Disclosure and management of potential conflicts
10. Compliance with Laws: Regulatory compliance obligations and anti-money laundering requirements
11. Confidentiality and Data Protection: Treatment of confidential information and personal data under GDPR
12. Liability and Indemnification: Scope of advisor's liability and any indemnification provisions
13. Term and Termination: Duration of agreement and termination provisions
14. Final Provisions: Governing law, jurisdiction, and other standard legal provisions
1. Delegation and Sub-Advisory: Used when the advisor may delegate certain functions to third parties
2. Online Services: Include when providing digital access to advisory services or reports
3. Research Services: When specific research or analysis services are provided separately
4. Portfolio Monitoring: For ongoing portfolio monitoring services if offered
5. Special Client Requirements: For institutional clients with specific regulatory or compliance needs
6. Performance Reporting: When specific performance measurement and reporting is agreed
7. Best Execution: When advisor is involved in transaction execution recommendations
1. Schedule 1: Fee Schedule: Detailed breakdown of all fees, charges, and calculation methods
2. Schedule 2: Investment Policy Statement: Detailed investment guidelines, restrictions, and strategy
3. Schedule 3: Authorized Persons: List of persons authorized to give/receive instructions on behalf of client
4. Schedule 4: Reporting Requirements: Details of reports, frequency, and content
5. Appendix A: Risk Disclosures: Mandatory risk warnings and detailed risk descriptions
6. Appendix B: Privacy Notice: Detailed GDPR-compliant privacy policy and data processing information
7. Appendix C: Regulatory Disclosures: Required regulatory disclosures and information about the advisor
Authors
Relevant legal definitions
Clauses
Relevant Industries
Financial Services
Banking
Investment Management
Wealth Management
Private Banking
Corporate Advisory
Asset Management
Family Office Services
Institutional Investment
Professional Services
Relevant Teams
Legal
Compliance
Investment Advisory
Wealth Management
Risk Management
Client Relations
Product Development
Operations
Regulatory Affairs
Private Banking
Relevant Roles
Investment Advisor
Compliance Officer
Legal Counsel
Wealth Manager
Portfolio Manager
Risk Manager
Client Relationship Manager
Chief Investment Officer
Head of Advisory Services
Financial Services Director
Regulatory Affairs Manager
Private Banking Manager
Investment Consultant
Find the exact document you need
Investment Property Partnership Agreement
German law agreement establishing a partnership structure for real estate investment and management, governed by BGB and HGB regulations.
find out more
Investment Deed
A German-law governed document that establishes and regulates investment terms and conditions, including investor rights, obligations, and protections under German legal requirements.
find out more
Capital Raising Agreement
A German law-governed agreement detailing terms and conditions for company capital raising, including investment structure, pricing, and investor rights.
find out more
Investment Contract For Small Business
A German law-governed agreement establishing terms and conditions for investment in a small business, including investment amount, shares, and investor rights.
find out more
Share Trust Agreement
A German law-governed agreement establishing a trust arrangement for the holding and management of shares by a trustee for specified beneficiaries.
find out more
Investment Protection Agreement
A German law-governed agreement establishing investment protection mechanisms and safeguards for investors and investment recipients, aligned with German and EU regulations.
find out more
Bilateral Investment Agreement
A German law-governed agreement establishing mutual investment protection and promotion framework between Germany and another sovereign state.
find out more
Purchase Of Shares Agreement
A German law-governed agreement documenting the terms and conditions for the sale and purchase of shares in a company, including price, warranties, and completion mechanics.
find out more
Memorandum Of Agreement For Investment
German law-governed investment agreement establishing terms and conditions for capital investment, including rights, obligations, and regulatory compliance requirements.
find out more
Joint Investment Agreement
A German law-governed agreement establishing terms and conditions for joint investments, including capital contributions, management rights, and profit sharing arrangements.
find out more
Investment Repayment Agreement
A German law-governed agreement establishing terms for investment repayment, including payment schedule, security arrangements, and compliance with German banking regulations.
find out more
Investment Club Agreement
A German law-governed agreement establishing an investment club and regulating its members' relationships, contributions, and investment activities.
find out more
Business Investment Contract
A German law-governed agreement detailing terms and conditions of business investment, including share allocation, governance, and investor rights.
find out more
Term Sheet Share Purchase Agreement
A German law-governed preliminary agreement outlining key terms and conditions for a share purchase transaction.
find out more
Project Investment Agreement
A German law-governed agreement structuring project investment terms, capital contributions, and implementation requirements between investors and project stakeholders.
find out more
Preference Share Subscription Agreement
A German law agreement governing the subscription of preference shares, detailing investment terms, share rights, and completion mechanics under German corporate law.
find out more
Preference Share Agreement
German law-governed agreement establishing terms for preference shares issuance, including preferential rights and corporate governance provisions.
find out more
Loss Share Agreement
A German law-governed agreement establishing terms for sharing losses between parties, typically used in financial transactions and regulated by German banking and civil law.
find out more
Investment Owners Contract
A German law-governed agreement establishing terms and conditions between investment owners and their investment vehicle, including ownership rights, management, and exit provisions.
find out more
Common Stock Repurchase Agreement
A German law-governed agreement for a corporation to repurchase its own shares from existing shareholders, complying with Aktiengesetz requirements.
find out more
Agreement For Transfer Of Shares
A notarized agreement under German law for the transfer of company shares, detailing the terms and conditions of the share sale and purchase.
find out more
Preferred Stock Subscription Agreement
German law-governed agreement for the subscription of preferred shares, detailing investor rights and share preferences.
find out more
Designated Investment Agreement
A German law-governed agreement establishing terms and conditions for designated investment arrangements, ensuring compliance with German investment regulations and EU directives.
find out more
Placement Agent Agreement Private Equity Fund
German law-governed agreement setting out terms for marketing and placement of private equity fund interests by a placement agent, compliant with KAGB and KWG requirements.
find out more
Share Subscription Agreement And Share Purchase Agreement
German law agreement combining share subscription for new shares and purchase of existing shares, including all necessary transfer and warranty provisions.
find out more
Finder's Fee Agreement For Investment Capital
German law-governed agreement establishing terms for identifying and introducing potential investors, including compensation and compliance requirements.
find out more
Restaurant Investment Agreement
A German law-governed agreement establishing terms for investment in a restaurant business, including operational, financial, and regulatory requirements.
find out more
Joint Venture Agreement For Real Estate Investing
A German law-governed agreement establishing a joint venture between parties for real estate investment activities, including structure, governance, and operational framework.
find out more
Share Purchase Agreement And Shareholders Agreement
A German law-governed agreement combining share purchase terms and ongoing shareholder arrangements for company ownership and governance.
find out more
Foreign Investment Agreement
A German law-governed agreement structuring foreign investment into German businesses, ensuring compliance with local and EU investment regulations.
find out more
Partnership Agreement On Investment And Financial Cooperation
A German law-governed agreement establishing an investment partnership, defining capital contributions, investment strategies, and partner relationships.
find out more
Investment Cooperation Agreement
A German law-governed agreement establishing the framework for investment cooperation between parties, including investment terms, governance, and exit mechanisms.
find out more
Stock Agreement
A German law-governed agreement for the sale and transfer of shares in a corporation, complying with German corporate law requirements and formalities.
find out more
Mezzanine Debt Term Sheet
A German law-governed term sheet outlining key terms for mezzanine financing, combining debt and equity characteristics with specific provisions under German banking and corporate regulations.
find out more
Profit Sharing Agreement For Investors
A German law-governed agreement establishing profit sharing arrangements between a company and investors, including calculation methods, distribution terms, and investor rights.
find out more
Startup Investment Agreement
A German law-governed agreement detailing terms and conditions for equity investment in a startup, including share rights, governance, and investor protections.
find out more
Letter Of Intent For Purchase Of Commercial Property
A preliminary agreement under German law outlining the intended terms for purchasing commercial property, including both binding and non-binding provisions.
find out more
Investment Guarantee Agreement
A German law contract establishing investment protection through guaranteed compensation mechanisms, governed by German civil and financial regulations.
find out more
Equity Commitment Letter
A German law-governed document establishing a binding commitment to provide equity funding, specifying amount, conditions, and timing of the investment.
find out more
Co Investment Agreement
A German law-governed agreement establishing terms for multiple investors to jointly invest in a target company, defining rights, obligations, and governance structures.
find out more
Joint Venture Investment Agreement
A German law-governed agreement establishing a joint venture between multiple parties, detailing ownership, management, and operational terms under German corporate regulations.
find out more
Stock Transfer Agreement
A German law-governed agreement documenting the transfer of company shares between parties, including terms, conditions, and regulatory compliance requirements.
find out more
Company Share Agreement
A German law-governed agreement for the sale and purchase of company shares, including transfer terms, warranties, and completion requirements.
find out more
Share Lending Agreement
A German law-governed agreement establishing terms for temporary securities lending between parties, including collateral arrangements and regulatory compliance requirements.
find out more
Real Estate Investment Agreement
A German law-governed agreement establishing terms and conditions for real estate investment transactions, including investment structure, property details, and party obligations.
find out more
Repurchase Agreement
German law Repurchase Agreement governing the sale and repurchase of securities, compliant with German financial regulations and EU directives.
find out more
Convertible Note Purchase Agreement
A German law agreement governing the issuance of convertible notes, documenting terms for debt that can convert to equity under specified conditions.
find out more
Investment Advisory Agreement
German law-governed Investment Advisory Agreement establishing the framework for professional investment advice services, compliant with BaFin regulations and German financial laws.
find out more
Shareholder Investment Agreement
A German law-governed agreement detailing terms and conditions for share investment, including shareholder rights, governance, and exit provisions.
find out more
Limited Partnership Agreement Private Equity
A German law-governed Limited Partnership Agreement establishing a private equity fund structure, defining relationships between General and Limited Partners, and setting operational parameters.
find out more
Stock Swap Agreement
A German law-governed agreement facilitating the exchange of shares between parties, including exchange terms, valuations, and regulatory compliance requirements.
find out more
Investment Partnership Agreement
German law-governed agreement establishing an investment partnership (KG structure), defining partner relationships, capital commitments, and investment terms.
find out more
Share Subscription Agreement
A German law-governed agreement detailing the terms and conditions for an investor's subscription to new shares in a company, complying with German corporate law requirements.
find out more
Investment Agreement Between Two Parties
A German law-governed agreement establishing terms and conditions for capital investment in exchange for company equity or securities.
find out more
Advisory Agreement
German-law Advisory Agreement establishing professional advisory services framework, compliant with BGB and GDPR requirements.
find out more
Sub Advisor Agreement
A German law-governed agreement establishing the terms for sub-advisory investment management services, including regulatory compliance, service scope, and fee arrangements.
find out more
Advisory Shares Agreement
German law agreement governing the grant of company shares to an advisor in exchange for their services and expertise.
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.
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.