The Financial Advisory Services Agreement is essential for establishing professional financial advisory relationships under Danish law. This document is typically used when a financial advisor or firm begins providing advisory services to clients, whether corporate, institutional, or private. It structures the advisory relationship in compliance with Danish financial regulations, including the Danish Financial Business Act and MiFID II implementation requirements. The agreement covers crucial aspects such as service scope, fee structures, regulatory compliance, risk disclosures, and professional obligations. It's particularly important in the Danish context due to specific regulatory requirements for financial advisors, including mandatory disclosures, conflict of interest management, and client categorization requirements.
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Key Requirements PROMPT example:
Financial Advisory Services Agreement
I need a Financial Advisory Services Agreement under Danish law for my investment firm to provide corporate advisory services to institutional clients, with specific focus on cross-border transactions and MiFID II compliance, to be implemented by March 2025.
1. Parties: Identification of the financial advisor and the client, including registration numbers and contact details
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 advisory services to be provided
5. Advisor's Obligations: Key responsibilities and duties of the financial advisor, including regulatory compliance obligations
6. Client's Obligations: Client's responsibilities, including provision of accurate information and documentation
7. Fees and Payment: Fee structure, payment terms, and expenses
8. Regulatory Compliance: Compliance with Danish financial regulations and EU directives
9. Confidentiality: Confidentiality obligations and handling of sensitive information
10. Data Protection: GDPR compliance and data handling procedures
11. Conflicts of Interest: Procedures for identifying and managing potential conflicts
12. Liability and Indemnification: Extent of advisor's liability and indemnification provisions
13. Term and Termination: Duration of agreement and termination provisions
14. General Provisions: Standard legal provisions including governing law, notices, and amendments
1. Investment Restrictions: For clients with specific investment restrictions or preferences
2. International Services: When services are provided across multiple jurisdictions
3. Retail Client Protections: Additional protections when dealing with retail clients
4. Sub-Advisory Arrangements: When third-party advisors or service providers are involved
5. Performance Reporting: Specific reporting requirements beyond standard obligations
6. Special Risk Disclosures: For specific high-risk investment strategies or products
7. Force Majeure: Provisions for extraordinary circumstances affecting service delivery
1. Schedule 1 - Service Description: Detailed breakdown of specific advisory services and deliverables
2. Schedule 2 - Fee Schedule: Detailed fee structure, including any performance-based fees
3. Schedule 3 - Authorized Representatives: List of authorized representatives from both parties
4. Schedule 4 - Reporting Requirements: Format and frequency of reports and communications
5. Schedule 5 - Compliance Requirements: Specific regulatory requirements and compliance procedures
6. Appendix A - Risk Disclosure Statement: Mandatory risk disclosures under Danish law
7. Appendix B - Privacy Policy: Detailed data protection and privacy procedures
8. Appendix C - Conflict of Interest Policy: Detailed procedures for managing conflicts of interest
Authors
Relevant legal definitions
Clauses
Relevant Industries
Financial Services
Banking
Investment Management
Insurance
Wealth Management
Corporate Finance
Private Equity
Real Estate
Professional Services
Asset Management
Pension Services
Family Office Services
Relevant Teams
Legal
Compliance
Finance
Investment Management
Risk Management
Client Services
Operations
Business Development
Corporate Finance
Wealth Management
Portfolio Management
Investment Advisory
Client Onboarding
Regulatory Affairs
Relevant Roles
Financial Advisor
Compliance Officer
Legal Counsel
Investment Manager
Wealth Manager
Portfolio Manager
Risk Manager
Chief Financial Officer
Chief Investment Officer
Relationship Manager
Business Development Manager
Operations Director
Client Services Manager
Corporate Finance Director
Investment Consultant
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