The Financial Advisory Services Agreement is a crucial document used to formalize the relationship between financial advisors and their clients in Nigeria. It is designed to comply with Nigerian financial services regulations, particularly the Investment and Securities Act 2007 and SEC requirements. This agreement is essential when engaging professional financial advisory services for matters such as investment strategy, corporate finance, mergers and acquisitions, or general financial planning. The document typically includes detailed service descriptions, fee structures, regulatory compliance requirements, confidentiality provisions, and risk management frameworks. It's particularly important in the Nigerian context where financial services are heavily regulated and require specific compliance measures and disclosures.
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1. Parties: Identification of the financial advisor and the client, including registration details and regulatory licenses
2. Background: Context of the agreement and brief description of the advisory services to be provided
3. Definitions: Key terms used throughout the agreement
4. Scope of Services: Detailed description of the financial advisory services to be provided
5. Appointment and Term: Formal appointment of the advisor and duration of the agreement
6. Advisor's Obligations: Key responsibilities and duties of the financial advisor
7. Client's Obligations: Responsibilities of the client, including information provision and cooperation
8. Fees and Payment Terms: Compensation structure, payment schedule, and expenses
9. Representations and Warranties: Standard representations by both parties, including regulatory compliance
10. Confidentiality: Protection of confidential information and trade secrets
11. Data Protection: Compliance with Nigerian Data Protection Regulation and data handling procedures
12. Intellectual Property: Ownership and usage rights of materials and advice provided
13. Liability and Indemnification: Limitation of liability and indemnification provisions
14. Termination: Grounds for termination and post-termination obligations
15. Dispute Resolution: Process for resolving disputes, including jurisdiction and governing law
16. General Provisions: Standard boilerplate clauses including notices, amendments, and assignment
1. Regulatory Compliance: Additional section for specific regulatory requirements when dealing with regulated entities or specific financial products
2. Performance Standards: Detailed service levels and performance metrics, recommended for larger institutional clients
3. Insurance: Specific insurance requirements and coverage details, important for high-value advisory services
4. Anti-Money Laundering: Detailed AML procedures when dealing with investment advice or fund management
5. Force Majeure: Provisions for unforeseen circumstances, recommended for long-term agreements
6. Non-Competition: Restrictions on competitive activities, useful for specialized advisory services
7. Succession Planning: Provisions for continuity of service, important for long-term or high-net-worth clients
1. Schedule 1 - Scope of Services: Detailed breakdown of specific advisory services and deliverables
2. Schedule 2 - Fee Schedule: Detailed fee structure, including base fees, success fees, and expense categories
3. Schedule 3 - Key Personnel: List of key team members and their qualifications
4. Schedule 4 - Service Level Requirements: Specific performance metrics and service standards
5. Schedule 5 - Compliance Requirements: Specific regulatory and compliance obligations
6. Appendix A - Required Disclosures: Mandatory disclosures under Nigerian securities laws
7. Appendix B - Reporting Templates: Standard formats for regular reporting and documentation
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