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Financial Advisor Contract

Financial Advisor Contract Template for Austria

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Key Requirements PROMPT example:

Financial Advisor Contract

"I need a Financial Advisor Contract for my wealth management firm based in Vienna, providing comprehensive investment advisory services to high-net-worth individuals, with specific provisions for discretionary portfolio management and quarterly performance reporting, to be implemented by March 2025."

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Document background
The Financial Advisor Contract serves as a foundational document for establishing professional financial advisory relationships in Austria. It is essential for compliance with the Austrian Securities Supervision Act 2018 (WAG 2018), the Banking Act (BWG), and other relevant financial regulations. This contract is typically used when engaging a financial advisor for services such as investment advice, portfolio management, or general financial planning. The document outlines critical elements including service scope, fee structures, advisor obligations, client responsibilities, and regulatory compliance requirements. It should be customized based on whether the client qualifies as a retail or professional investor under Austrian law, and must incorporate specific disclosures and protections mandated by Austrian financial regulations and EU directives.
Suggested Sections

1. Parties: Identification of the Financial Advisor and the Client, including registration/license numbers and contact details

2. Background: Context of the agreement and confirmation of advisor's qualifications and regulatory status

3. Definitions: Key terms used throughout the agreement, including regulatory and technical financial terms

4. Scope of Services: Detailed description of financial advisory services to be provided, including any limitations

5. Advisor's Obligations: Key responsibilities including due diligence, reporting, and regulatory compliance obligations

6. Client's Obligations: Client's responsibilities including information provision and cooperation requirements

7. Fees and Payment Terms: Compensation structure, payment schedule, and any additional costs

8. Conflicts of Interest: Disclosure and management of potential conflicts of interest

9. Confidentiality and Data Protection: Privacy obligations, GDPR compliance, and data handling procedures

10. Term and Termination: Duration of the agreement and termination provisions

11. Liability and Indemnification: Extent and limitations of advisor's liability and indemnification provisions

12. Regulatory Compliance: Compliance with WAG 2018 and other applicable regulations

13. Governing Law and Jurisdiction: Austrian law as governing law and jurisdiction for disputes

14. Miscellaneous: Standard provisions including notices, amendments, and severability

Optional Sections

1. Investment Policy Guidelines: Used when providing ongoing investment management services, defining investment strategies and restrictions

2. Performance Reporting: Include when regular performance reporting is part of the service offering

3. Third-Party Services: Required when external service providers or sub-advisors are involved

4. Special Risk Disclosures: Additional risk disclosures for complex financial instruments or strategies

5. International Services: Include when providing cross-border advisory services

6. Professional Client Status: Special provisions when client qualifies as a professional investor under WAG 2018

Suggested Schedules

1. Schedule A - Detailed Service Description: Comprehensive list and description of all advisory services provided

2. Schedule B - Fee Schedule: Detailed breakdown of all fees, charges, and payment terms

3. Schedule C - Client Risk Profile: Client's investment objectives, risk tolerance, and investment restrictions

4. Schedule D - Required Disclosures: Mandatory regulatory disclosures and risk warnings

5. Appendix 1 - Advisor Qualifications: Details of advisor's licenses, registrations, and qualifications

6. Appendix 2 - Compliance Procedures: Summary of relevant compliance procedures and client protections

7. Appendix 3 - Privacy Policy: Detailed data protection and privacy policies

8. Appendix 4 - Execution Policy: Procedures for handling client orders and best execution policies where applicable

Authors

Alex Denne

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

Linkedin in social icon imageX social icon image
alex.den.21@genieai.co
Relevant legal definitions
Advisory Services
Agreement
Applicable Laws
Assets Under Advice
Austrian Securities Supervision Act
Authorized Person
Business Day
Client
Client Information
Confidential Information
Conflicts of Interest
Data Protection Laws
Effective Date
Eligible Counterparty
EU Regulations
Fee Schedule
Financial Advice
Financial Instruments
Financial Markets Authority (FMA)
Force Majeure
Investment Objectives
Investment Policy
Investment Profile
Investment Strategy
MiFID II
Notice
Personal Data
Personal Recommendation
Professional Client
Regulatory Authority
Retail Client
Risk Profile
Services
Sophisticated Investor
Term
Transaction
WAG 2018
Investment Horizon
Performance Report
Portfolio
Regulated Market
Related Party
Risk Tolerance
Service Level
Trading Venue
Clauses
Appointment
Scope of Services
Regulatory Compliance
Fees and Charges
Payment Terms
Client Obligations
Advisor Obligations
Investment Authority
Risk Disclosure
Confidentiality
Data Protection
Conflicts of Interest
Representations and Warranties
Liability and Indemnification
Term and Duration
Termination
Force Majeure
Assignment
Notices
Amendment
Severability
Entire Agreement
Governing Law
Dispute Resolution
Client Classification
Best Execution
Reporting Requirements
Record Keeping
Anti-Money Laundering
Investment Restrictions
Performance Reporting
Third Party Authorization
Electronic Communication
Intellectual Property
Relevant Industries

Financial Services

Banking

Investment Management

Wealth Management

Insurance

Corporate Finance

Private Banking

Professional Services

Consulting

Asset Management

Relevant Teams

Legal

Compliance

Risk Management

Investment Advisory

Wealth Management

Client Services

Operations

Finance

Regulatory Affairs

Private Banking

Portfolio Management

Financial Planning

Relevant Roles

Financial Advisor

Investment Consultant

Wealth Manager

Portfolio Manager

Compliance Officer

Legal Counsel

Risk Manager

Client Relationship Manager

Chief Investment Officer

Financial Planning Director

Investment Strategy Director

Private Banking Manager

Regulatory Compliance Manager

General Counsel

Chief Financial Officer

Industries
Wertpapieraufsichtsgesetz 2018 (WAG 2018): The Securities Supervision Act 2018 - implements MiFID II in Austria and regulates the provision of investment services, including financial advice
Bankwesengesetz (BWG): The Banking Act - contains provisions relevant to financial advisory services, especially when connected to banking products
Allgemeines Bürgerliches Gesetzbuch (ABGB): The Austrian Civil Code - provides the general framework for contract formation and obligations between parties
Konsumentenschutzgesetz (KSchG): The Consumer Protection Act - applies when providing financial advisory services to consumers, ensuring proper disclosure and protection
Datenschutzgesetz (DSG): The Data Protection Act - along with GDPR, governs the handling of client personal data
Finanzmarkt-Geldwäschegesetz (FM-GwG): The Financial Markets Anti-Money Laundering Act - sets requirements for customer due diligence and reporting obligations
Gewerbeordnung 1994 (GewO): The Trade Regulation Act - contains provisions regarding business licensing and professional qualifications for financial advisors
Kapitalmarktgesetz (KMG): The Capital Market Act - relevant when financial advice involves capital market instruments
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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