The Financial Advisor Contract Template is designed for use in the United Arab Emirates to formalize relationships between financial advisors and their clients, whether individual or institutional. This template adheres to UAE federal laws and regulations, including requirements from the Central Bank and Securities and Commodities Authority (SCA). The document encompasses essential elements such as service scope, regulatory compliance, compensation structures, and risk management protocols. It's particularly relevant for financial advisory services within the UAE's unique market context, including both conventional and Islamic financial services. The template includes provisions for digital service delivery and cross-border advisory services where applicable, while maintaining compliance with UAE's regulatory framework. This contract template is structured to protect both advisor and client interests while ensuring transparency and regulatory compliance in financial advisory relationships.
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1. Parties: Identification of the Financial Advisor and the Client, including full legal names, addresses, and registration details
2. Background: Context of the agreement, including advisor's qualifications and client's objectives
3. Definitions: Key terms used throughout the agreement, including technical financial terms and regulatory references
4. Scope of Services: Detailed description of financial advisory services to be provided, including specific areas of advice
5. Advisor's Obligations: Responsibilities and duties of the financial advisor, including fiduciary duties and regulatory compliance
6. Client's Obligations: Client's responsibilities, including providing accurate information and required documentation
7. Fees and Payment Terms: Compensation structure, payment schedule, and any additional charges
8. Confidentiality: Provisions for handling confidential information and client data protection
9. Regulatory Compliance: Compliance with UAE financial regulations and relevant authorities
10. Term and Termination: Duration of the agreement and conditions for termination
11. Liability and Indemnification: Limitations of liability and indemnification provisions
12. Governing Law and Jurisdiction: Specification of UAE law application and jurisdiction for disputes
13. Notices: Communication protocols and official notice requirements
14. General Provisions: Standard contract clauses including assignment, amendment, and severability
1. Investment Management: Include when advisor provides direct investment management services
2. Digital Services: Include when advisory services are provided through digital platforms
3. International Services: Include for cross-border advisory services
4. Sharia Compliance: Include for Islamic financial advisory services
5. Sub-Advisory Services: Include when third-party advisors may be engaged
6. Performance Reporting: Include when regular performance reporting is part of the service
7. Risk Disclosures: Include detailed risk warnings for specific investment strategies
8. Conflict Resolution: Include specific dispute resolution procedures beyond standard jurisdiction clause
1. Schedule A - Fee Structure: Detailed breakdown of all fees, charges, and payment terms
2. Schedule B - Scope of Services Detail: Comprehensive list of specific services and deliverables
3. Schedule C - Investment Policy Statement: Client's investment objectives, constraints, and guidelines
4. Schedule D - Regulatory Disclosures: Required regulatory disclosures and risk warnings
5. Schedule E - Client Risk Profile: Client's risk assessment and investment suitability profile
6. Schedule F - Authorized Representatives: List of authorized persons who can act on behalf of each party
7. Appendix 1 - Professional Credentials: Advisor's qualifications, licenses, and registrations
8. Appendix 2 - Compliance Procedures: Details of compliance protocols and regulatory requirements
9. Appendix 3 - Service Level Standards: Performance standards and service delivery metrics
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