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Financial Engagement Letter

Financial Engagement Letter Template for Singapore

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Key Requirements PROMPT example:

Financial Engagement Letter

"I need a Financial Engagement Letter for my investment advisory firm to engage a new corporate client in Singapore, specifically covering wealth management services with a fee structure based on assets under management and including specific risk disclosures for cryptocurrency investments."

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Document background
The Financial Engagement Letter is a crucial document in Singapore's financial services industry that formalizes the professional relationship between financial service providers and their clients. It is typically used when initiating new financial advisory relationships, investment management services, or other financial service arrangements. The document must comply with Singapore's regulatory framework, including MAS guidelines and the Securities and Futures Act. It contains essential information about service scope, fees, responsibilities, confidentiality obligations, and risk disclosures, while providing legal protection for both parties.
Suggested Sections

1. Introduction and Parties: Identification of the firm and client, including registered addresses and company details

2. Scope of Services: Detailed description of financial services to be provided, including specific deliverables and exclusions

3. Fee Structure: Comprehensive outline of fees, payment terms, billing arrangements and expenses

4. Client Responsibilities: Detailed list of client obligations, required cooperation and information provision requirements

5. Confidentiality: Terms regarding confidential information handling, data protection and privacy compliance

6. Term and Termination: Duration of engagement and circumstances under which the agreement can be terminated

Optional Sections

1. Conflict Resolution: Dispute resolution procedures and governing law provisions for complex engagements

2. Professional Team: Details of key personnel involved in service delivery for large-scale engagements

3. Risk Disclosures: Specific risk warnings and disclaimers for investment advisory services

4. Regulatory Compliance: Additional regulatory requirements and compliance obligations specific to certain financial services

Suggested Schedules

1. Schedule A - Fee Schedule: Detailed breakdown of fees, charges, and payment terms

2. Schedule B - Service Level Agreement: Specific service standards, deliverables, and timelines

3. Schedule C - Required Documentation: Comprehensive list of documents and information required from the client

4. Schedule D - Team Profiles: Professional backgrounds and qualifications of key team members

5. Schedule E - Compliance Requirements: Specific regulatory and compliance obligations applicable to the engagement

Authors

Alex Denne

Head of Growth (Open Source Law) @ tiktok³ÉÈË°æ | 3 x UCL-Certified in Contract Law & Drafting | 4+ Years Managing 1M+ Legal Documents | Serial Founder & Legal AI Author

alex.den.21@genieai.co
Relevant legal definitions

























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Industries

Securities and Futures Act (SFA): Primary legislation governing capital markets, securities, and futures trading in Singapore. Essential for financial service providers and investment activities.

Financial Advisers Act (FAA): Regulates financial advisory services in Singapore, including licensing requirements and conduct of business requirements for financial advisers.

Companies Act: Primary legislation governing corporate entities in Singapore, relevant for corporate structure and governance requirements.

Banking Act: Regulates banking business and related financial services in Singapore, including requirements for banking operations and customer relations.

Monetary Authority of Singapore Act: Establishes MAS as the central bank and integrated financial regulator of Singapore, providing overarching regulatory framework.

MAS Guidelines on Standards of Conduct: Regulatory guidelines specifying expected standards of conduct and best practices for financial advisers and institutions.

MAS Guidelines on Fair Dealing: Guidelines ensuring fair treatment of customers in the financial industry, focusing on transparency and ethical business practices.

MAS Notice on AML/CFT: Regulatory requirements for preventing money laundering and countering the financing of terrorism in financial institutions.

Singapore Financial Reporting Standards: Professional standards for financial reporting and accounting practices in Singapore.

ISCA Code of Professional Conduct: Professional ethics and conduct guidelines for chartered accountants and financial professionals in Singapore.

Personal Data Protection Act: Legislation governing the collection, use, and disclosure of personal data, ensuring privacy protection in business operations.

Corruption, Drug Trafficking and Other Serious Crimes Act: Anti-money laundering legislation that criminalizes money laundering and requires reporting of suspicious transactions.

Singapore Contract Law: Common law principles governing contract formation, execution, and enforcement in Singapore, essential for engagement letters.

Teams

Employer, Employee, Start Date, Job Title, Department, Location, Probationary Period, Notice Period, Salary, Overtime, Vacation Pay, Statutory Holidays, Benefits, Bonus, Expenses, Working Hours, Rest Breaks,  Leaves of Absence, Confidentiality, Intellectual Property, Non-Solicitation, Non-Competition, Code of Conduct, Termination,  Severance Pay, Governing Law, Entire Agreemen

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