The Investment Consulting Agreement is a crucial document used in the UAE financial services sector to formalize the relationship between investment consultants and their clients. This agreement is essential for compliance with UAE Federal Law No. 4 of 2000 and SCA regulations governing investment advisory services. The document addresses key aspects such as service scope, regulatory compliance, risk disclosures, and confidentiality obligations. It's particularly important in the UAE market where investment consulting must align with both conventional and Islamic finance principles. The agreement typically includes detailed provisions about the consultant's qualifications, regulatory authorizations, and specific services offered, while ensuring compliance with UAE's strict financial services regulations and anti-money laundering requirements.
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1. Parties: Identification of the Investment Consultant and the Client, including full legal names, addresses, and registration details
2. Background: Context of the agreement, including consultant's qualifications and regulatory status
3. Definitions: Key terms used throughout the agreement, including 'Investment Advice', 'Services', 'Confidential Information', etc.
4. Scope of Services: Detailed description of investment consulting services to be provided
5. Regulatory Compliance: Statements regarding compliance with UAE securities laws and SCA regulations
6. Consultant's Obligations: Detailed responsibilities of the consultant, including standard of care and regulatory obligations
7. Client's Obligations: Client's responsibilities, including information provision and cooperation
8. Fees and Payment: Fee structure, payment terms, and expenses
9. Representations and Warranties: Key statements and guarantees from both parties
10. Confidentiality: Obligations regarding confidential information and data protection
11. Limitation of Liability: Limits on consultant's liability and risk disclaimers
12. Term and Termination: Duration of agreement and termination provisions
13. Governing Law and Jurisdiction: UAE law as governing law and jurisdiction for disputes
14. General Provisions: Standard boilerplate clauses including notices, amendments, assignment, etc.
1. Non-Competition: Restrictions on consultant's ability to work with competing clients - include when exclusivity is required
2. Performance Reporting: Specific reporting requirements and metrics - include when regular performance reporting is needed
3. Insurance: Professional indemnity insurance requirements - include for higher-value consulting arrangements
4. Force Majeure: Provisions for unforeseen circumstances - include for longer-term agreements
5. Anti-Money Laundering: Specific AML compliance provisions - include when dealing with high-net-worth individuals or complex structures
6. Shariah Compliance: Islamic finance compliance provisions - include when dealing with Islamic investment products
7. Intellectual Property: IP rights and usage - include when proprietary investment methods or tools are involved
8. Data Protection: Detailed data protection and privacy provisions - include when handling personal data or operating across jurisdictions
1. Schedule 1 - Services Description: Detailed breakdown of investment consulting services and deliverables
2. Schedule 2 - Fee Schedule: Detailed fee structure, including any performance-based fees
3. Schedule 3 - Authorized Representatives: List of authorized personnel from both parties
4. Schedule 4 - Reporting Requirements: Format and frequency of investment reports and updates
5. Schedule 5 - Compliance Requirements: Specific regulatory compliance requirements and procedures
6. Appendix A - Risk Disclosures: Mandatory risk warnings and disclaimers
7. Appendix B - Investment Guidelines: Any specific investment restrictions or guidelines
8. Appendix C - Required Documents: List of documentation required from the client for KYC/AML compliance
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