The Financial Consultant Contract is essential for establishing professional relationships in financial advisory services within the United States. This document is typically used when engaging independent financial consultants or consulting firms for services such as financial planning, investment advisory, or strategic financial guidance. The contract ensures compliance with federal regulations including the Investment Advisers Act and state-specific requirements, while clearly defining the scope of services, compensation structure, and professional obligations. It provides legal protection for both parties and helps maintain regulatory compliance in financial advisory relationships.
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1. Parties: Identifies the consultant and client with full legal names and addresses
2. Background: Context of the engagement and brief description of parties' business
3. Definitions: Key terms used throughout the agreement
4. Scope of Services: Detailed description of financial consulting services to be provided
5. Term and Termination: Duration of agreement and termination conditions
6. Compensation: Fee structure, payment terms, and expenses
7. Confidentiality: Protection of sensitive information and data handling requirements
8. Independent Contractor Status: Clarification of relationship between parties and tax implications
9. Representations and Warranties: Statements of fact and promises made by both parties regarding qualifications and compliance
10. Limitation of Liability: Boundaries of consultant's legal responsibility and liability caps
1. Non-Compete: Restrictions on competitive activities during and after the engagement
2. Intellectual Property: Ownership of work products, materials, and methodologies developed during the engagement
3. Insurance: Professional liability insurance requirements and coverage specifications
4. Regulatory Compliance: Specific obligations related to SEC, FINRA, and other regulatory requirements
5. Data Protection: Specific provisions for handling personal and financial data under relevant privacy laws
1. Schedule A - Scope of Services: Detailed breakdown of specific financial consulting services to be provided
2. Schedule B - Fee Schedule: Comprehensive fee structure, payment terms, and expense reimbursement policies
3. Schedule C - Required Qualifications: List of required certifications, licenses, and professional qualifications
4. Appendix 1 - Compliance Requirements: Detailed regulatory compliance obligations and reporting requirements
5. Appendix 2 - Service Level Agreement: Performance metrics, response times, and service quality standards
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