The Financial Advisory Services Agreement is a crucial document used in Pakistan when establishing a professional relationship between a financial advisor and their client. This agreement is essential for compliance with Pakistani regulatory requirements, particularly those set by the Securities and Exchange Commission of Pakistan (SECP) and related financial services legislation. The document typically comes into play when companies or individuals seek professional financial guidance, merger and acquisition advice, investment recommendations, or strategic financial planning. It comprehensively covers service scope, fee structures, confidentiality obligations, regulatory compliance, and risk management provisions. The agreement is particularly important in the Pakistani context as it must align with local financial services regulations while incorporating international best practices in financial advisory services.
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1. Parties: Identification of the financial advisor and the client, including their legal status and registered addresses
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. Term and Termination: Duration of the agreement and conditions for termination
6. Fees and Payment Terms: Structure of fees, payment schedule, and billing procedures
7. Obligations of the Advisor: Duties, responsibilities, and standard of care required from the financial advisor
8. Client's Obligations: Client's responsibilities, including providing accurate information and cooperation
9. Confidentiality: Provisions for protecting confidential information of both parties
10. Compliance with Laws: Commitment to comply with Pakistani laws and regulations, including SECP requirements
11. Representations and Warranties: Standard declarations by both parties regarding their capacity and authority
12. Limitation of Liability: Extent and limitations of the advisor's liability
13. Dispute Resolution: Procedures for resolving disputes, including jurisdiction and governing law
14. General Provisions: Standard boilerplate clauses including notices, amendments, and assignment
1. Non-Compete: Restrictions on advisor's ability to service competing clients, used when sensitive industry information is involved
2. Insurance: Requirements for professional indemnity insurance, used for high-value advisory services
3. Force Majeure: Provisions for unforeseeable circumstances, particularly relevant in volatile markets
4. Anti-Corruption: Specific anti-corruption provisions, essential when dealing with public sector clients
5. Intellectual Property: Protection of IP rights, important when proprietary analysis tools or methodologies are used
6. Data Protection: Specific data handling requirements, crucial when dealing with personal financial information
7. Successors and Assigns: Provisions for continuation of services in case of corporate restructuring
8. Marketing Rights: Permission to use client's name in marketing materials, optional for prestigious clients
1. Schedule A - Scope of Services: Detailed breakdown of specific financial advisory services to be provided
2. Schedule B - Fee Structure: Detailed fee calculations, rates, and payment milestones
3. Schedule C - Key Personnel: List of key team members and their qualifications
4. Schedule D - Reporting Requirements: Format and frequency of financial reports and updates
5. Schedule E - Compliance Procedures: Detailed compliance protocols and regulatory requirements
6. Appendix 1 - Service Level Agreement: Specific performance metrics and service standards
7. Appendix 2 - Required Disclosures: Mandatory disclosures as per SECP regulations
8. Appendix 3 - Client Investment Profile: Client's risk profile and investment objectives
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