The Financial Advisor Contract Template is essential for establishing clear terms of engagement between financial advisors and their clients in England and Wales. This document is particularly crucial when initiating new client relationships or updating existing arrangements to ensure compliance with current FCA regulations. The template covers essential elements including service scope, fee structures, regulatory obligations, and risk disclosures, while maintaining flexibility to accommodate various types of financial advisory services. It's designed to protect both parties' interests while ensuring compliance with UK financial services legislation and regulatory requirements.
Financial Advisor Contract for the United Kingdom
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Key Requirements PROMPT example:
Financial Advisor Contract Template
I need a Financial Advisor Contract Template for my wealth management firm that specifically covers both discretionary portfolio management and pension advice services, with enhanced data protection clauses suitable for high-net-worth clients based in multiple EU jurisdictions.
Your data doesn't train Genie's AI
You keep IP ownership of your information
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OR
1. Parties: Identification of the financial advisor and client, including registration details and regulatory status
2. Background: Context of the agreement, regulatory framework, and purpose of the engagement
3. Definitions: Key terms used throughout the agreement including regulatory and financial terminology
4. Services: Detailed scope of financial advisory services to be provided, including any limitations
5. Fees and Payment: Fee structure, payment terms, expenses, and method of calculation
6. Regulatory Compliance: FCA requirements, compliance obligations, and regulatory disclosures
7. Confidentiality: Treatment of confidential information and data protection obligations
8. Term and Termination: Duration of the agreement, termination rights, and post-termination obligations
1. Investment Risk Warnings: Specific risk warnings and disclaimers required for investment advisory services
2. Third Party Arrangements: Details of any third-party service providers and their role in service delivery
3. International Services: Provisions for cross-border services and applicable international regulations
1. Schedule 1: Fee Schedule: Detailed breakdown of all fees, charges, and commission structures
2. Schedule 2: Service Level Agreement: Specific service standards, response times, and performance metrics
3. Appendix A: Risk Disclosure: Comprehensive risk warnings and disclosures required by regulations
4. Appendix B: Regulatory Disclosures: Required regulatory statements, disclaimers, and compliance documentation
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