The Financial Advisor Contract is essential for establishing professional financial advisory relationships in Switzerland. This document is typically used when engaging a financial advisor for services such as investment advice, portfolio management, or general financial planning. The contract must comply with Swiss regulatory requirements, particularly the Financial Services Act (FinSA) and Financial Institutions Act (FinIA), which set strict standards for financial service providers. It includes comprehensive details about services, fees, duties, and obligations while incorporating necessary regulatory disclosures, risk warnings, and compliance procedures. The document is designed to protect both advisor and client interests while ensuring transparency and regulatory compliance in the Swiss financial services market.
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1. Parties: Identification of the Financial Advisor and the Client, including full legal names, addresses, and registration details
2. Background: Context of the agreement, including advisor's qualifications and client's objectives
3. Definitions: Key terms used throughout the agreement, including regulatory terminology
4. Scope of Services: Detailed description of financial advisory services to be provided, aligned with FinSA requirements
5. Duties and Responsibilities: Specific obligations of the Financial Advisor, including fiduciary duties and regulatory compliance
6. Client's Obligations: Client's responsibilities, including information provision and cooperation requirements
7. Fees and Compensation: Fee structure, payment terms, and any additional costs
8. Regulatory Compliance: Compliance with FinSA, FinIA, and other applicable regulations
9. Confidentiality: Confidentiality obligations and data protection measures
10. Conflicts of Interest: Disclosure and management of potential conflicts
11. Term and Termination: Duration of the agreement and termination provisions
12. Liability and Indemnification: Extent of advisor's liability and indemnification provisions
13. General Provisions: Standard clauses including governing law, jurisdiction, and amendments
1. Investment Policy: Detailed investment guidelines and restrictions (include when providing portfolio management services)
2. Risk Disclosure: Comprehensive risk warnings (required for complex financial instruments)
3. Third-Party Services: Terms regarding the engagement of third-party service providers
4. Reporting Requirements: Specific reporting obligations (include for ongoing advisory relationships)
5. Digital Services: Terms for online platforms or digital tools if provided
6. International Services: Additional provisions for cross-border advisory services
7. Performance Metrics: Performance measurement and evaluation criteria (for discretionary management)
1. Schedule A - Service Description: Detailed breakdown of specific advisory services and deliverables
2. Schedule B - Fee Schedule: Comprehensive fee structure, including calculation methods and payment terms
3. Schedule C - Client Risk Profile: Client's investment objectives, risk tolerance, and investment restrictions
4. Schedule D - Regulatory Disclosures: Required disclosures under FinSA and other applicable regulations
5. Appendix 1 - Power of Attorney: If applicable, scope of authority granted to the advisor
6. Appendix 2 - KYC Documentation: Know Your Customer documentation and client classification
7. Appendix 3 - Compliance Procedures: Internal compliance procedures and regulatory requirements
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