Investment Consulting Agreement Template for Australia

The Investment Consulting Agreement is essential for establishing professional investment advisory relationships in the Australian market. It is typically used when a qualified investment consultant or advisory firm agrees to provide strategic investment advice, portfolio analysis, or other investment-related services to clients such as corporations, institutional investors, or high-net-worth individuals. The agreement must comply with Australian financial services regulations, including licensing requirements under the Corporations Act 2001, ASIC guidelines, and relevant provisions of the Financial Sector Reform Act. It details the scope of services, performance standards, fee structures, and risk management provisions while ensuring appropriate consumer protections and professional standards are maintained. This document is particularly important given the increasing complexity of investment markets and the stringent regulatory environment in Australia's financial services sector.

1. Parties: Identification of the Investment Consultant and the Client, including ABN/ACN and registered addresses

2. Background: Context of the agreement, including consultant's qualifications and licenses, and client's objectives

3. Definitions: Key terms used throughout the agreement, including 'Investment Advice', 'Services', 'Confidential Information'

4. Appointment and Scope of Services: Detailed description of investment consulting services to be provided and any limitations

5. Term: Duration of the agreement, including commencement date and renewal provisions

6. Consultant's Obligations: Key responsibilities, professional standards, and compliance with regulations

7. Client's Obligations: Client responsibilities, including providing accurate information and timely instructions

8. Fees and Payment: Fee structure, payment terms, expenses, and invoicing procedures

9. Compliance and Regulatory Requirements: Obligations under relevant financial services laws and regulations

10. Representations and Warranties: Statements of fact and promises by both parties

11. Confidentiality: Protection and handling of confidential information and client data

12. Intellectual Property: Ownership and use of reports, analyses, and other materials

13. Liability and Indemnity: Limitation of liability, professional indemnity insurance, and indemnification provisions

14. Termination: Grounds for termination, notice periods, and consequences of termination

15. General Provisions: Standard clauses including notices, governing law, dispute resolution, and entire agreement