The Investment Consulting Agreement is essential for financial service providers operating in Switzerland who offer investment advice to clients. This document is specifically designed to comply with Swiss regulatory requirements, particularly the Federal Act on Financial Services (FinSA/FIDLEG) and related regulations. It is used when establishing a professional relationship between an investment consultant and their clients, whether private individuals, corporate entities, or institutional investors. The agreement covers crucial aspects such as service scope, fee structures, risk disclosures, and regulatory compliance measures. It's particularly important in the Swiss context due to the jurisdiction's strict financial regulations and its position as a global financial center. The document must address specific Swiss regulatory requirements including client classification, duty of disclosure, and documentation obligations.
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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 and brief description of the parties' intentions
3. Definitions: Key terms used throughout the agreement, including technical and regulatory terminology
4. Scope of Services: Detailed description of investment consulting 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: Specific obligations of both consultant and client, including information duties and cooperation requirements
7. Fees and Payment Terms: Compensation structure, payment schedule, and any additional costs or expenses
8. Conflicts of Interest: Disclosure and handling of potential conflicts of interest
9. Confidentiality: Obligations regarding confidential information and client data protection
10. Duration and Termination: Term of the agreement, renewal provisions, and termination conditions
11. Liability and Indemnification: Extent and limitations of consultant's liability and any indemnification provisions
12. Governing Law and Jurisdiction: Confirmation of Swiss law application and jurisdiction for disputes
13. Miscellaneous: Standard provisions including severability, entire agreement, and amendments
1. Best Execution Policy: Required when the consultant is involved in transaction execution or recommendation
2. Research Services: Include when specific investment research services are part of the offering
3. Portfolio Monitoring: When ongoing portfolio monitoring services are provided
4. Reporting Obligations: Detailed reporting requirements when regular reporting is part of the service
5. Sub-Advisory Arrangements: Include when third-party advisors may be involved
6. International Services: Required when services extend beyond Switzerland
7. Digital Services: Include when offering online platforms or digital tools
1. Schedule A - Service Description: Detailed breakdown of specific investment consulting services
2. Schedule B - Fee Schedule: Detailed fee structure, including calculation methods and examples
3. Schedule C - Client Risk Profile: Client's investment objectives, risk tolerance, and investment restrictions
4. Schedule D - Authorized Representatives: List of persons authorized to act on behalf of the client
5. Appendix 1 - Regulatory Disclosures: Required FinSA disclosures and regulatory information
6. Appendix 2 - Conflict of Interest Policy: Detailed policies and procedures for handling conflicts of interest
7. Appendix 3 - Data Protection Notice: Detailed information about data processing and privacy protection measures
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