The Financial Advisory Agreement is a critical document used when establishing a professional relationship between a financial advisor or advisory firm and their clients in Switzerland. It serves as the primary contractual framework governing the provision of financial advisory services, ensuring compliance with Swiss regulations, particularly the Financial Services Act (FinSA) and Financial Institutions Act (FinIA). This agreement is essential when offering services such as investment advice, portfolio analysis, financial planning, or wealth management services. It includes detailed provisions on service scope, fee structures, risk disclosures, and regulatory requirements specific to the Swiss financial services industry. The document is designed to protect both parties' interests while ensuring transparency and regulatory compliance in the Swiss financial advisory context.
Thank you! Your submission has been received!
Oops! Something went wrong while submitting the form.
Your data doesn't train Genie's AI
You keep IP ownership of your docs
1. Parties: Identification of the financial advisor and the client, including regulatory status and contact details
2. Background: Context of the agreement and brief description of the advisor's services and client's needs
3. Definitions: Key terms used throughout the agreement, including regulatory terms from FinSA
4. Scope of Services: Detailed description of financial advisory services to be provided, including any limitations
5. Client Classification: Classification of the client according to FinSA categories (private, professional, or institutional)
6. Duties and Responsibilities: Obligations of the advisor including duty of care, loyalty, and information requirements
7. Client's Obligations: Client's responsibilities including providing accurate information and necessary documentation
8. Fees and Charges: Detailed fee structure, payment terms, and any third-party compensation
9. Conflicts of Interest: Disclosure of potential conflicts and how they are managed
10. Confidentiality: Provisions regarding the protection of confidential information and data privacy
11. Term and Termination: Duration of the agreement and conditions for termination
12. Liability and Indemnification: Extent of advisor's liability and any indemnification provisions
13. Notices: Methods and requirements for formal communications between parties
14. Governing Law and Jurisdiction: Specification of Swiss law application and jurisdiction for disputes
15. Miscellaneous: Standard provisions including severability, entire agreement, and amendments
1. Investment Strategy: Detailed investment approach and guidelines, used when specific investment strategies are part of the advisory service
2. Risk Disclosure: Comprehensive risk warnings, particularly important for complex financial instruments or strategies
3. Digital Services: Terms for online platforms or digital tools if provided as part of the service
4. External Asset Managers: Terms regarding cooperation with external asset managers if applicable
5. Research Services: Terms regarding provision of research materials and analysis if included
6. Tax Considerations: General tax disclaimers and responsibilities, particularly relevant for cross-border advice
7. Succession Planning: Terms regarding inheritance and succession planning services if offered
8. Recording of Communications: Terms regarding recording of client communications if applicable
1. Schedule of Services: Detailed list and description of specific advisory services provided
2. Fee Schedule: Detailed breakdown of all fees, charges, and commission structures
3. Risk Disclosure Statement: Comprehensive disclosure of risks associated with different investment types
4. Client Information Form: KYC documentation and client profile information
5. Investment Guidelines: Specific investment parameters and restrictions if applicable
6. Authorized Persons: List of persons authorized to give instructions on behalf of the client
7. Data Protection Notice: Detailed information about data processing and privacy protection measures
8. Regulatory Disclosures: Required disclosures under FinSA and other applicable regulations
Find the exact document you need
Sub Advisory Agreement
A Swiss-law governed agreement establishing terms for delegation of investment management responsibilities between a primary advisor and sub-advisor, compliant with Swiss financial regulations.
Download
Board Of Advisor Agreement
A Swiss law-governed agreement establishing the terms and conditions for board advisory services, including duties, compensation, and confidentiality obligations.
Download
Consultancy Agreement With Company
Swiss law-governed agreement for establishing consultancy services relationship between a company and an external consultant.
Download
Financial Advisor Contract
A Swiss law-governed agreement between a financial advisor and client, establishing advisory services and regulatory compliance under FinSA/FinIA framework.
Download
Investment Advisory Agreement
A Swiss-law governed agreement establishing the framework for investment advisory services, compliant with FinSA/FIDLEG requirements.
Download
Advisory Board Agreement
A Swiss-law governed agreement establishing the terms and conditions for an external advisor's service on a company's advisory board.
Download
Sub Advisor Agreement
Swiss law-governed agreement establishing a regulated sub-advisory relationship between investment professionals, compliant with FinSA and FinIA requirements.
Download
Investment Consulting Agreement
Swiss law-governed agreement establishing terms for professional investment consulting services, compliant with FinSA/FIDLEG regulations.
Download
Financial Consulting Services Agreement
Swiss law-governed agreement for financial consulting services, compliant with FinSA/FIDLEG and Swiss financial regulations.
Download
Advisory Shares Agreement
A Swiss-law agreement governing the grant of company shares to an advisor in exchange for advisory services, including vesting terms and conditions.
Download
Financial Advisory Agreement
Swiss law-governed agreement establishing terms for professional financial advisory services, compliant with FinSA requirements.
Download
Advisory Services Contract
Swiss law-governed agreement establishing terms and conditions for professional advisory services, aligned with the Swiss Code of Obligations.
Download
Advisory Services Agreement
Swiss law-governed agreement establishing terms and conditions for professional advisory services, aligned with Swiss Code of Obligations requirements.
Download
Advisor Contract
A Swiss law-governed agreement establishing terms and conditions for professional advisory services between a client and advisor.
Download
ұԾ’s Security Promise
Genie is the safest place to draft. Here’s how we prioritise your privacy and security.
Your documents are private:
We do not train on your data; ұԾ’s AI improves independently
All data stored on Genie is private to your organisation
Your documents are protected:
Your documents are protected by ultra-secure 256-bit encryption
We are ISO27001 certified, so your data is secure
Organizational security:
You retain IP ownership of your documents and their information
You have full control over your data and who gets to see it
.png)