The Investment Advisor Contract serves as the foundational document for establishing and managing the relationship between investment advisors and their clients in Australia. This contract is essential for compliance with Australian financial services regulations, particularly the Corporations Act 2001 and ASIC requirements. It is used when an investment advisor or firm begins a new client relationship, whether with individual investors, corporations, or institutional clients. The document comprehensively covers service scope, fee structures, regulatory obligations, risk disclosures, and client protections. It reflects recent regulatory changes, including reforms following the Banking Royal Commission, and incorporates mandatory best interest duties and enhanced disclosure requirements. The contract is designed to protect both advisors and clients while ensuring transparency and compliance with Australian financial services laws.
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Key Requirements PROMPT example:
Investment Advisor Contract
"I need an Investment Advisor Contract for my boutique wealth management firm that will be providing services to high-net-worth individuals in Australia, with a focus on international investments and ESG portfolio management."
1. Parties: Identification of the investment advisor/firm and the client, including all relevant licensing and registration details
2. Background: Context of the agreement, including advisor's qualifications and general nature of services to be provided
3. Definitions: Key terms used throughout the agreement, including regulatory and technical terms
4. Services: Detailed description of investment advisory services to be provided, including scope and limitations
5. Advisor's Obligations: Legal and fiduciary duties, including best interest obligations, disclosure requirements, and communication commitments
6. Client's Obligations: Client responsibilities including providing accurate information and timely responses
7. Fees and Payments: Comprehensive fee structure, payment terms, and disclosure of any commissions or third-party payments
8. Conflicts of Interest: Disclosure of potential conflicts and how they will be managed
9. Risk Disclosure: Detailed explanation of investment risks and acknowledgment by client
10. Privacy and Confidentiality: Handling of personal and financial information, privacy obligations
11. Term and Termination: Duration of agreement, termination rights and procedures
12. Liability and Indemnification: Extent of advisor's liability and any indemnification provisions
13. Dispute Resolution: Process for handling complaints and resolving disputes
14. General Provisions: Standard contract clauses including governing law, amendments, and notices
1. Delegation and Assignment: Used when the advisor may need to delegate certain functions or assign rights
2. International Investments: Include when services involve overseas investments or international clients
3. Portfolio Management: When discretionary trading or ongoing portfolio management is provided
4. Digital Services: When providing online platforms or digital tools for client use
5. Tax Services: When tax advice or tax-related services are included
6. Research Services: When providing specialized research or market analysis
7. Reporting Requirements: When specific custom reporting arrangements are needed
8. Third-Party Authorizations: When advisor needs authority to deal with other service providers
1. Schedule A - Fee Schedule: Detailed breakdown of all fees, charges, and payment structures
2. Schedule B - Investment Strategy: Agreed investment strategy, objectives, and risk profile
3. Schedule C - Services Description: Detailed scope of services and any excluded services
4. Schedule D - Client Risk Profile: Client's assessed risk tolerance and investment preferences
5. Appendix 1 - Financial Services Guide: Required regulatory disclosure document
6. Appendix 2 - Advisor Credentials: Advisor qualifications, licenses, and registrations
7. Appendix 3 - Privacy Policy: Detailed privacy and data handling procedures
8. Appendix 4 - Complaint Handling Procedure: Detailed dispute resolution process and external scheme membership
Authors
Relevant legal definitions
Clauses
Relevant Industries
Financial Services
Wealth Management
Investment Banking
Private Banking
Superannuation
Corporate Advisory
Asset Management
Private Equity
Family Office Services
Professional Services
Relevant Teams
Legal
Compliance
Wealth Management
Investment Advisory
Risk Management
Client Services
Operations
Business Development
Due Diligence
Portfolio Management
Relevant Roles
Investment Advisor
Financial Planner
Wealth Manager
Portfolio Manager
Compliance Officer
Legal Counsel
Risk Manager
Client Relationship Manager
Chief Investment Officer
Managing Director
Operations Manager
Due Diligence Officer
Investment Strategist
Business Development Manager
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