The Investment Advisory Agreement is a crucial document used in the UAE financial services sector to formalize the relationship between licensed investment advisors and their clients. It is required under UAE Securities and Commodities Authority (SCA) regulations when providing professional investment advice to clients. The agreement must comply with SCA Board Decision No. (13/R.M) of 2021 and related regulations governing financial advisory services. It details the scope of services, fee structures, risk disclosures, and regulatory obligations, while protecting both parties' interests. This document is essential for investment firms operating in the UAE and must be tailored to account for specific client classifications (retail/professional) and service types being offered.
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1. Parties: Identification of the investment advisor and the client, including licensing details of the advisor
2. Background: Context of the agreement and confirmation of advisor's regulatory status
3. Definitions: Key terms used throughout the agreement, including regulatory terminology
4. Appointment and Scope of Services: Detailed description of investment advisory services to be provided and any limitations
5. Regulatory Compliance: Compliance with UAE laws and SCA regulations, including client classification
6. Client Representations and Warranties: Client's confirmations regarding their status, understanding of risks, and authority
7. Advisor Representations and Warranties: Advisor's confirmations regarding licensing, expertise, and regulatory compliance
8. Fees and Payment Terms: Detailed fee structure, calculation methods, and payment procedures
9. Confidentiality and Data Protection: Obligations regarding client information and compliance with data protection laws
10. Risk Disclosures: Mandatory risk warnings and disclaimers
11. Conflicts of Interest: Disclosure and management of potential conflicts
12. Liability and Indemnification: Extent of advisor's liability and mutual indemnification provisions
13. Term and Termination: Duration of agreement and termination provisions
14. Governing Law and Jurisdiction: UAE law as governing law and jurisdiction for disputes
15. General Provisions: Standard boilerplate clauses including notices, amendments, and assignment
1. Shariah Compliance: Required if offering Shariah-compliant advisory services
2. Sub-Advisory Arrangements: Include if the advisor may delegate any services to third parties
3. Online Services: Include if providing digital advisory tools or platforms
4. Research Services: Include if providing investment research as part of services
5. Multiple Currency Provisions: Include if services involve multiple currencies
6. Joint Account Provisions: Required if services may be provided to joint account holders
1. Schedule 1 - Services Description: Detailed scope of investment advisory services
2. Schedule 2 - Fee Schedule: Comprehensive fee structure and calculation methodology
3. Schedule 3 - Client Classification: Client classification details and related requirements
4. Schedule 4 - Risk Disclosure Statement: Detailed risk warnings and disclosures
5. Appendix A - Client Information Form: KYC information and investment profile
6. Appendix B - Authorized Persons: List of persons authorized to give/receive instructions
7. Appendix C - Investment Guidelines: Any specific investment guidelines or restrictions
8. Appendix D - Compliance Documents: Required regulatory forms and declarations
Relevant legal definitions
Advisory Services
Applicable Laws
Authority
Authorized Person
Business Day
Client
Client Information
Client Classification
Confidential Information
Conflicts of Interest
DIFC
Effective Date
Fees
Financial Instruments
Force Majeure
Investment Advice
Investment Guidelines
Investment Objectives
Investment Profile
Investment Recommendation
Investment Strategy
KYC
Licensed Activities
Market
Material Adverse Effect
Professional Client
Regulatory Body
Related Party
Retail Client
Risk Profile
SCA
Services
Shariah Compliant
Sophisticated Investor
Term
UAE
UAE Central Bank
Working Hours
Applicable Laws
Authority
Authorized Person
Business Day
Client
Client Information
Client Classification
Confidential Information
Conflicts of Interest
DIFC
Effective Date
Fees
Financial Instruments
Force Majeure
Investment Advice
Investment Guidelines
Investment Objectives
Investment Profile
Investment Recommendation
Investment Strategy
KYC
Licensed Activities
Market
Material Adverse Effect
Professional Client
Regulatory Body
Related Party
Retail Client
Risk Profile
SCA
Services
Shariah Compliant
Sophisticated Investor
Term
UAE
UAE Central Bank
Working Hours
Clauses
Appointment
Scope of Services
Regulatory Compliance
Client Classification
Authority and Capacity
Representations and Warranties
Investment Advisory Services
Fees and Charges
Payment Terms
Risk Disclosure
Client Acknowledgments
Confidentiality
Data Protection
Intellectual Property
Conflicts of Interest
Anti-Money Laundering
Record Keeping
Reporting
Client Communications
Best Execution
Service Standards
Liability
Indemnification
Force Majeure
Term
Termination
Assignment
Notices
Amendment
Severability
Entire Agreement
Governing Law
Jurisdiction
Dispute Resolution
Electronic Communications
Language
Third Party Rights
Survival
Scope of Services
Regulatory Compliance
Client Classification
Authority and Capacity
Representations and Warranties
Investment Advisory Services
Fees and Charges
Payment Terms
Risk Disclosure
Client Acknowledgments
Confidentiality
Data Protection
Intellectual Property
Conflicts of Interest
Anti-Money Laundering
Record Keeping
Reporting
Client Communications
Best Execution
Service Standards
Liability
Indemnification
Force Majeure
Term
Termination
Assignment
Notices
Amendment
Severability
Entire Agreement
Governing Law
Jurisdiction
Dispute Resolution
Electronic Communications
Language
Third Party Rights
Survival
Relevant Industries
Financial Services
Investment Management
Wealth Management
Asset Management
Private Banking
Corporate Finance
Family Office Services
Professional Services
Banking
Securities and Investment
Relevant Teams
Legal
Compliance
Investment Advisory
Wealth Management
Risk Management
Client Relations
Business Development
Operations
Corporate Governance
Regulatory Affairs
Relevant Roles
Investment Advisor
Compliance Officer
Legal Counsel
Wealth Manager
Portfolio Manager
Chief Investment Officer
Risk Manager
Client Relationship Manager
Financial Services Director
Head of Investment Advisory
Regulatory Affairs Officer
Business Development Manager
Private Banker
Investment Consultant
Chief Executive Officer
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