The Financial Consulting Engagement Letter is a critical document used when establishing a professional financial advisory relationship. It serves as both a legal protection and a clear communication tool, detailing the scope of work, fee structure, and terms of service. In the United States, these letters must comply with various regulatory requirements, including SEC regulations, state-specific financial advisory laws, and professional standards. The document typically includes specific provisions for confidentiality, liability limitations, and regulatory disclosures, making it essential for both the consultant and client to clearly understand their rights and obligations.
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1. Parties and Contact Information: Identification of consultant and client, including full legal names and addresses
2. Scope of Services: Detailed description of financial consulting services to be provided, including specific deliverables and responsibilities
3. Fee Structure and Payment Terms: Comprehensive details about compensation, billing rates, payment schedules, and expense reimbursement policies
4. Term and Timeline: Duration of engagement, key milestone dates, and project timeline
5. Confidentiality Obligations: Terms regarding protection of client information, data security requirements, and non-disclosure provisions
6. Professional Standards Compliance: Commitment to follow applicable professional standards, regulatory requirements, and industry best practices
1. Investment Adviser Disclosures: Required regulatory disclosures when providing investment advice services under the Investment Advisers Act
2. Conflict of Interest Disclosure: Declaration of potential conflicts and procedures for handling them
3. ERISA Fiduciary Status: Acknowledgment of fiduciary responsibilities and obligations under ERISA regulations
1. Schedule A - Fee Schedule: Detailed breakdown of all fees, charges, and payment terms
2. Schedule B - Form ADV: SEC registration document for investment advisers including required disclosures
3. Schedule C - Professional Qualifications: Documentation of credentials, certifications, and qualifications of key team members
4. Schedule D - Service Level Agreement: Detailed performance metrics, service standards, and response times
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