The Investment Advisory Agreement is a crucial document used in Hong Kong's financial services industry to formalize the relationship between licensed investment advisors and their clients. It is required whenever a licensed entity provides investment advisory services under Hong Kong's Securities and Futures Ordinance. The agreement comprehensively outlines the advisor's obligations, client's rights, scope of services, fee structures, and risk disclosures, while ensuring compliance with SFC regulations and guidelines. It serves as both a regulatory requirement and a commercial framework, protecting both parties' interests while maintaining transparency in the advisory relationship. The document is particularly important given Hong Kong's status as a major financial center and the strict regulatory requirements imposed on financial services providers.
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1. Parties: Identification of the investment advisor and the client, including licensing details of the advisor
2. Background: Context of the agreement and confirmation of advisor's SFC licensing status
3. Definitions: Key terms used throughout the agreement, including regulatory-specific terminology
4. Appointment and Scope of Services: Detailed description of investment advisory services to be provided and any limitations
5. Regulatory Compliance: Compliance with SFC requirements and other applicable regulations
6. Client Representations and Warranties: Client's confirmations regarding their status, understanding of risks, and authority to enter agreement
7. Advisor Representations and Warranties: Advisor's confirmations regarding licensing, expertise, and regulatory compliance
8. Fees and Payment Terms: Advisory fees, calculation methods, payment schedule, and other charges
9. Risk Disclosures: Mandatory risk warnings and investment-related disclosures
10. Confidentiality: Protection of client information and compliance with PDPO
11. Conflicts of Interest: Disclosure and management of potential conflicts
12. Term and Termination: Duration of agreement and termination provisions
13. Liability and Indemnification: Extent of advisor's liability and mutual indemnification provisions
14. Anti-Money Laundering: AML compliance obligations and requirements
15. Notices: Communication methods and contact details
16. General Provisions: Standard clauses including governing law, amendments, and assignment
1. Online Services: Terms for providing advisory services through digital platforms or online portals
2. Group Client Arrangements: Additional terms for corporate or group clients
3. Discretionary Management: Optional terms if discretionary portfolio management services are offered
4. Research Services: Terms specific to providing investment research services
5. Foreign Account Provisions: Additional terms for non-Hong Kong clients or investments
6. Specific Investment Strategies: Terms for specialized investment strategies or asset classes
7. Sub-Advisory Arrangements: Terms for engaging sub-advisors or delegation of services
1. Schedule 1 - Fee Schedule: Detailed breakdown of all fees, charges, and calculation methodologies
2. Schedule 2 - Investment Mandate: Specific investment objectives, strategies, and restrictions
3. Schedule 3 - Authorized Persons: List of persons authorized to give instructions on behalf of the client
4. Schedule 4 - Risk Disclosure Statement: Detailed risk disclosures required by SFC regulations
5. Appendix A - Client Information Form: Client details, investment profile, and risk tolerance assessment
6. Appendix B - Compliance Requirements: Specific regulatory requirements and compliance procedures
7. Appendix C - Service Level Agreement: Detailed description of service standards and reporting requirements
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