The Financial Advisory Agreement serves as the primary legal document establishing the relationship between licensed financial advisors and their clients in Malaysia. This agreement is essential for compliance with Malaysian financial regulations, particularly the Capital Markets and Services Act 2007 and Financial Services Act 2013. It details the scope of advisory services, fee structures, fiduciary duties, and risk disclosures while protecting both parties' interests. The document is adaptable for various client types, from individual investors to institutional clients, and can accommodate both conventional and Islamic financial advisory services. It includes specific provisions required by Malaysian regulators, such as mandatory risk disclaimers, conflict of interest disclosures, and client suitability assessments. The agreement is particularly crucial in the current Malaysian financial landscape, where increased regulatory oversight and client protection requirements necessitate clear documentation of advisory relationships.
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1. Parties: Identification of the financial advisor and client, including licensing details and registration numbers
2. Background: Context of the agreement and brief description of the advisory relationship to be established
3. Definitions: Key terms used throughout the agreement, including regulatory and technical financial terms
4. Scope of Services: Detailed description of financial advisory services to be provided, including any limitations
5. Appointment and Authority: Formal appointment of advisor and extent of their authority to act on behalf of client
6. Duties and Responsibilities: Obligations of the financial advisor, including fiduciary duties and standard of care
7. Client Representations and Warranties: Client's confirmations regarding their financial situation, understanding of risks, and authority to enter agreement
8. Fees and Compensation: Detailed fee structure, payment terms, and any additional charges
9. Confidentiality: Obligations regarding protection and non-disclosure of confidential information
10. Compliance with Laws: Commitment to comply with relevant Malaysian financial regulations and laws
11. Risk Disclosures: Mandatory risk warnings and disclaimers as required by Malaysian regulations
12. Termination: Conditions and procedures for terminating the advisory relationship
13. Indemnification: Mutual indemnification provisions and limitation of liability
14. General Provisions: Standard clauses including notices, amendments, governing law, and dispute resolution
1. Digital Services: Required when providing online or robo-advisory services, detailing digital platform terms and access
2. Islamic Financial Advisory: Required when providing Shariah-compliant advisory services, including relevant principles and compliance
3. Discretionary Management: Include when the advisor has discretionary authority over client accounts
4. International Services: Required when providing cross-border advisory services, including relevant jurisdictional considerations
5. Research Services: Include when providing investment research as part of the advisory service
6. Corporate Advisory: Required for institutional clients receiving corporate financial advisory services
1. Schedule 1 - Fee Schedule: Detailed breakdown of all fees, charges, and commission structures
2. Schedule 2 - Scope of Services: Comprehensive list of specific services included in the agreement
3. Schedule 3 - Investment Policy Statement: Client's investment objectives, risk tolerance, and investment constraints
4. Schedule 4 - Authorized Representatives: List of persons authorized to act on behalf of client and advisor
5. Appendix A - Risk Disclosure Statement: Detailed risk disclosures as required by Malaysian regulations
6. Appendix B - Compliance Requirements: Specific regulatory requirements and compliance procedures
7. Appendix C - Client Information Form: KYC documentation and client profile information
8. Appendix D - Service Level Agreement: Specific performance standards and service levels to be maintained
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