The Investment Advisory Agreement is a crucial document used when establishing a professional investment advisory relationship under Austrian law. It is required whenever an authorized investment advisor or firm provides investment advisory services to clients in Austria, whether retail or professional. The agreement must comply with the Austrian Securities Supervision Act 2018 (WAG 2018), which implements MiFID II requirements, and other relevant Austrian and EU regulations. It details the scope of services, client classification, risk disclosures, fee structures, and regulatory obligations, while incorporating necessary consumer protections and data privacy requirements. This document is essential for maintaining regulatory compliance and establishing clear contractual relationships in investment advisory services.
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1. Parties: Identification of the investment advisor and the client, including regulatory status and contact details
2. Background: Context of the agreement and regulatory framework under which services are provided
3. Definitions: Key terms used throughout the agreement, including regulatory and technical terms
4. Scope of Services: Detailed description of investment advisory services to be provided, including any limitations
5. Client Classification: Classification of the client (retail/professional) and associated protections under MiFID II
6. Duties and Responsibilities: Obligations of both advisor and client, including information provision and communication requirements
7. Risk Disclosures: Mandatory risk warnings and acknowledgments required under Austrian law
8. Fees and Charges: Detailed fee structure, payment terms, and disclosure of any third-party commissions
9. Conflicts of Interest: Disclosure and management of potential conflicts of interest
10. Client Assets: Confirmation that advisor does not hold client assets and related safeguards
11. Data Protection: GDPR compliance measures and data processing terms
12. Confidentiality: Confidentiality obligations and permitted disclosures
13. Term and Termination: Duration of agreement and termination provisions
14. Liability and Indemnification: Extent of advisor's liability and any indemnification provisions
15. General Provisions: Standard contractual terms including governing law, notices, and amendments
1. International Services: Additional terms for cross-border advisory services, required when serving clients outside Austria
2. Discretionary Management: Optional terms for any discretionary portfolio management services, if offered alongside advisory
3. Online Services: Terms governing any digital platform or online service access provided to clients
4. Research Services: Terms covering investment research if provided as part of the service
5. Special Client Requirements: Additional terms for specific investment restrictions or preferences
6. Best Execution: Required for advisors who also execute trades or provide trade recommendations
7. Third-Party Arrangements: Terms covering relationships with third-party service providers or platforms
1. Schedule 1 - Fee Schedule: Detailed breakdown of all fees, charges, and commission structures
2. Schedule 2 - Investment Policy Statement: Client's investment objectives, risk profile, and investment restrictions
3. Schedule 3 - Risk Disclosure Document: Comprehensive risk warnings and disclosures required by Austrian law
4. Schedule 4 - Client Classification Notice: Detailed explanation of client's classification and associated protections
5. Appendix A - Data Processing Terms: Detailed GDPR-compliant data processing terms and procedures
6. Appendix B - Conflicts of Interest Policy: Full conflicts of interest policy as required by MiFID II
7. Appendix C - Best Execution Policy: Details of best execution arrangements if applicable
8. Appendix D - Contact Details: List of key contacts and communication protocols
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