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Financial Advisory Services Agreement

Financial Advisory Services Agreement Template for Germany

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Key Requirements PROMPT example:

Financial Advisory Services Agreement

I need a Financial Advisory Services Agreement under German law for our boutique wealth management firm providing services to high-net-worth individuals, with particular emphasis on cross-border investment advisory and specific provisions for digital reporting tools.

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Document background
The Financial Advisory Services Agreement is essential for establishing professional financial advisory relationships in Germany. It is used when a financial advisor or firm provides services such as investment advice, financial planning, or wealth management to clients under German jurisdiction. The agreement must comply with strict German financial regulations, including the Banking Act (KWG), Securities Trading Act (WpHG), and relevant EU regulations like GDPR. This document is crucial for protecting both advisor and client interests while ensuring regulatory compliance in the German financial services sector. It includes detailed service descriptions, fee structures, regulatory disclosures, and professional obligations, making it suitable for various financial advisory contexts, from individual wealth management to corporate financial consulting.
Suggested Sections

1. Parties: Identification of the financial advisor and the client, including full legal names, addresses, and registration details

2. Background: Context of the agreement and brief description of the parties' intentions

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

4. Scope of Services: Detailed description of the financial advisory services to be provided

5. Advisor's Obligations: Specific duties and responsibilities of the financial advisor, including regulatory compliance obligations

6. Client's Obligations: Client's responsibilities, including provision of accurate information and cooperation

7. Fees and Payment Terms: Detailed fee structure, payment schedule, and expenses

8. Regulatory Compliance: Statements regarding compliance with German financial regulations and applicable laws

9. Confidentiality: Obligations regarding confidential information and business secrets

10. Data Protection: GDPR compliance and data processing terms

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

12. Liability and Indemnification: Limitations of liability and professional indemnity provisions

13. General Provisions: Standard clauses including notices, amendments, and governing law

Optional Sections

1. Investment Guidelines: Required when the services include investment advice or portfolio management

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

3. Risk Disclosures: Additional risk warnings for specific financial products or services

4. Conflict of Interest: Detailed provisions when advisor provides services to multiple clients in similar sectors

5. International Services: Required when services extend beyond Germany

6. Digital Services: Include when providing online or digital advisory services

7. Sub-Advisory Arrangements: Include when third-party advisors may be involved

Suggested Schedules

1. Schedule 1 - Service Description: Detailed breakdown of specific services and deliverables

2. Schedule 2 - Fee Schedule: Detailed fee calculations, rates, and payment terms

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

4. Schedule 4 - Authorized Representatives: List of persons authorized to act on behalf of each party

5. Appendix A - Regulatory Disclosures: Required regulatory disclosures and risk warnings

6. Appendix B - Data Processing Agreement: Detailed GDPR-compliant data processing terms

7. Appendix C - Professional Qualifications: Advisor's licenses, certifications, and professional credentials

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
Advisor
Agreement
Applicable Laws
Assets Under Management
BaFin
Business Day
Client
Client Information
Confidential Information
Conflicts of Interest
Data Protection Laws
DSGVO/GDPR
Effective Date
Engagement Letter
Fee Schedule
Financial Advice
Financial Instruments
Force Majeure
Investment Guidelines
Investment Objectives
Investment Profile
KWG
Material Adverse Change
Personal Data
Professional Services
Regulatory Authority
Regulatory Requirements
Representatives
Risk Profile
Services
Term
Transaction
WpHG
Investment Strategy
Portfolio
Professional Indemnity Insurance
Affiliate
Authorization
Client Account
Commencement Date
Fees
Investment Recommendations
Performance Report
Professional Standards
Service Level
Termination Date
Working Hours
Clauses
Appointment
Scope of Services
Regulatory Compliance
Service Standards
Client Obligations
Fee Structure
Payment Terms
Expenses
Performance Standards
Reporting
Confidentiality
Data Protection
Intellectual Property
Non-Solicitation
Non-Competition
Conflict of Interest
Record Keeping
Client Communications
Risk Disclosure
Investment Guidelines
Authorization
Representations and Warranties
Liability
Indemnification
Insurance
Force Majeure
Term
Termination
Assignment
Amendments
Notices
Severability
Entire Agreement
Governing Law
Dispute Resolution
Anti-Money Laundering
Surviving Provisions
Relevant Industries

Financial Services

Banking

Wealth Management

Investment Management

Corporate Finance

Private Banking

Insurance

Real Estate Investment

Private Equity

Family Office Services

FinTech

Relevant Teams

Legal

Compliance

Finance

Risk Management

Wealth Management

Client Relations

Investment Advisory

Corporate Finance

Private Banking

Operations

Business Development

Document Management

Relevant Roles

Financial Advisor

Investment Consultant

Wealth Manager

Portfolio Manager

Chief Financial Officer

Finance Director

Compliance Officer

Legal Counsel

Risk Manager

Client Relationship Manager

Investment Officer

Financial Planning Director

Asset Manager

Private Banking Manager

Financial Services Consultant

Industries
German Civil Code (Bürgerliches Gesetzbuch - BGB): The fundamental law governing contracts, obligations, and general civil law matters in Germany. Particularly relevant sections include §§ 611-630 on service contracts and §§ 675-676c on business management contracts.
German Banking Act (Kreditwesengesetz - KWG): Regulates banking and financial services activities, including licensing requirements and operational frameworks for financial advisors.
Investment Services Regulation (Wertpapierdienstleistungs-Verhaltens- und Organisationsverordnung - WpDVerOV): Specifies conduct and organizational requirements for investment services providers, including documentation and disclosure obligations.
Securities Trading Act (Wertpapierhandelsgesetz - WpHG): Governs securities trading and investment advice, including requirements for investor protection and transparency.
Anti-Money Laundering Act (Geldwäschegesetz - GwG): Establishes obligations for financial service providers regarding customer due diligence and prevention of money laundering.
General Data Protection Regulation (GDPR/DSGVO): Regulates the processing of personal data, including requirements for data collection, storage, and processing in financial services.
German Fee Structure Act (Rechtsanwaltsvergütungsgesetz - RVG): While primarily for lawyers, it can provide guidance on fee structures for professional services in the financial sector.
Financial Services Supervision Act (Finanzdienstleistungsaufsichtsgesetz - FinDAG): Establishes the framework for financial services supervision and the role of BaFin (Federal Financial Supervisory Authority).
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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