The Financial Advisory Agreement is essential for establishing a formal relationship between financial advisors and their clients in the Netherlands. This document is required when providing professional financial advisory services and must comply with strict Dutch regulatory requirements, particularly the Wet op het financieel toezicht (Wft) and related regulations. It becomes necessary when a client seeks professional financial advice, whether for personal wealth management, investment decisions, or corporate financial planning. The agreement covers crucial aspects such as service scope, fee structures, advisor obligations, client responsibilities, and regulatory compliance measures. It's designed to protect both parties while ensuring transparency and adherence to Dutch financial supervision standards.
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1. Parties: Identification of the Financial Advisor and the Client, including registration/license numbers and relevant contact details
2. Background: Context of the agreement, brief description of the advisor's services and client's needs
3. Definitions: Definitions of key terms used throughout the agreement
4. Scope of Services: Detailed description of the financial advisory services to be provided, including specific areas of advice
5. Advisor's Obligations: Key responsibilities and duties of the advisor, including regulatory compliance requirements
6. Client's Obligations: Client's responsibilities, including providing accurate information and necessary documentation
7. Fees and Payment: Fee structure, payment terms, and billing procedures
8. Confidentiality: Provisions regarding the handling of confidential information
9. Data Protection: GDPR compliance measures and data handling procedures
10. Duration and Termination: Term of the agreement and conditions for termination
11. Liability and Indemnification: Limitations of liability and indemnification provisions
12. Governing Law and Jurisdiction: Specification of Dutch law as governing law and jurisdiction for disputes
1. Non-Competition: Restrictions on advisor's ability to serve competing clients - include when dealing with corporate clients or specialized industries
2. Force Majeure: Provisions for unforeseen circumstances - particularly relevant in volatile market conditions
3. Assignment: Rights to transfer the agreement - include when working with larger institutions
4. Investment Objectives: Detailed client investment goals and risk profile - include for investment-focused advisory services
5. Regulatory Disclosures: Additional regulatory declarations - include when providing specific regulated services
6. Client Classification: Classification of client under MiFID II - include when providing investment services to professional clients
1. Schedule 1 - Detailed Service Description: Comprehensive breakdown of all services to be provided
2. Schedule 2 - Fee Schedule: Detailed fee structure including all charges, commissions, and payment terms
3. Schedule 3 - Client Risk Profile: Assessment of client's risk tolerance and investment objectives
4. Schedule 4 - Regulatory Disclosures: Required disclosures under Dutch financial regulations
5. Schedule 5 - Data Processing Agreement: GDPR-compliant data processing terms and procedures
6. Appendix A - Advisor's Licenses and Registrations: Copies or details of relevant regulatory licenses and registrations
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