The Financial Advisor Agreement is a crucial document used when establishing a professional relationship between a financial advisor and their clients in India. This agreement is essential for compliance with SEBI (Investment Advisers) Regulations, 2013, and other applicable Indian financial services laws. It details the scope of services, fee structures, and responsibilities of both parties while incorporating necessary regulatory requirements and investor protections. The document is particularly important in the Indian context where financial advisory services are strictly regulated, requiring specific disclosures, compliance measures, and clear delineation of duties. The agreement serves as both a legal protection and operational framework for delivering financial advisory services, whether to individual or institutional clients.
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1. Parties: Identifies the financial advisor and the client, including their complete legal names, addresses, and registration details
2. Background: Establishes the context of the agreement, including the advisor's qualifications and registrations with SEBI
3. Definitions: Defines key terms used throughout the agreement, including 'Services', 'Investment Advice', 'Confidential Information', etc.
4. Scope of Services: Details the specific financial advisory services to be provided, including investment advice, portfolio review, and financial planning
5. Appointment and Term: Establishes the formal appointment of the advisor and the duration of the agreement
6. Advisor's Obligations: Lists the advisor's duties, responsibilities, and compliance requirements under SEBI regulations
7. Client's Obligations: Specifies client responsibilities, including providing accurate information and necessary documentation
8. Fees and Payment Terms: Details the fee structure, payment schedule, and any additional charges
9. Confidentiality: Addresses the handling and protection of confidential information and client data
10. Conflicts of Interest: Disclosure requirements and management of potential conflicts of interest
11. Representations and Warranties: Standard representations from both parties regarding their capacity and authority
12. Limitation of Liability: Defines the extent and limitations of the advisor's liability
13. Termination: Specifies conditions and procedures for terminating the agreement
14. Governing Law and Jurisdiction: Establishes Indian law as governing law and specifies jurisdiction for dispute resolution
1. Digital Services: Include when offering online portfolio management or digital advisory services
2. Sub-Advisory Services: Include when the advisor may engage other specialists or sub-advisors
3. International Investments: Include when advising on foreign investments or international markets
4. Research Services: Include when providing specialized research or market analysis services
5. Risk Disclosure: Additional risk disclosures beyond standard warnings, particularly for complex products
6. Performance Reporting: Include when providing regular performance reporting services
7. Alternative Dispute Resolution: Include when parties agree to mediation or arbitration procedures
8. Force Majeure: Include when specific provisions for unforeseen circumstances are required
1. Schedule A - Fee Structure: Detailed breakdown of all fees, charges, and payment terms
2. Schedule B - Scope of Services: Comprehensive list of specific services included in the agreement
3. Schedule C - Investment Policy Statement: Client's investment objectives, risk tolerance, and investment constraints
4. Schedule D - KYC Documentation: Required Know Your Client documentation and compliance forms
5. Schedule E - Risk Disclosure Document: Detailed risk disclosures as required by SEBI regulations
6. Appendix 1 - Advisor Credentials: Copies of relevant registrations, certifications, and qualifications
7. Appendix 2 - Communication Protocol: Procedures for client communications and reporting
8. Appendix 3 - Privacy Policy: Detailed privacy and data protection policies
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