Financial Advisory Agreement Template for Hong Kong

1. Parties: Identification of the financial advisor and the client, including licensing and registration details of the advisor

2. Background: Context of the agreement and brief description of the advisory relationship to be established

3. Definitions: Key terms used throughout the agreement, including regulatory-specific terminology

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

5. Appointment and Authority: Formal appointment of the advisor and extent of their authority to act on behalf of the client

6. Duties and Responsibilities: Specific obligations of the financial advisor, including fiduciary duties and standard of care

7. Client Representations and Warranties: Client's confirmations regarding their status, understanding of risks, and authority to enter agreement

8. Fees and Payment Terms: Structure and calculation of advisory fees, payment schedule, and expenses

9. Confidentiality: Obligations regarding protection of confidential information and client data

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

11. Risk Disclosures: Mandatory risk warnings and acknowledgments as required by SFC regulations

12. Term and Termination: Duration of agreement and circumstances for termination

13. Indemnification: Mutual indemnification provisions and limitation of liability

14. Governing Law and Jurisdiction: Specification of Hong Kong law and jurisdiction for dispute resolution

15. General Provisions: Standard boilerplate clauses including notices, amendments, and assignment

1. Schedule 1 - Fee Schedule: Detailed breakdown of all fees, charges, and commission structures

2. Schedule 2 - Scope of Services: Detailed description of specific advisory services and any excluded services

3. Schedule 3 - Investment Mandate: Client's investment objectives, restrictions, and risk profile

4. Schedule 4 - Authorized Persons: List of persons authorized to give instructions on behalf of client

5. Appendix A - Risk Disclosure Statement: Mandatory SFC risk disclosures and additional risk warnings

6. Appendix B - Privacy Policy: Detailed privacy and personal data handling policies

7. Appendix C - Compliance Documents: Required regulatory forms and compliance documentation

8. Appendix D - Service Level Agreement: Specific performance standards and service levels to be maintained