The Financial Advisor Contract serves as a crucial legal framework for establishing professional financial advisory relationships in Denmark. This document is essential when engaging a financial advisor for services such as investment advice, wealth management, or financial planning. It ensures compliance with Danish financial regulations, including the Danish Financial Business Act and EU directives like MiFID II. The contract comprehensively addresses key aspects such as service scope, fee structures, advisor obligations, client responsibilities, and regulatory requirements. It's particularly important for maintaining transparency, protecting both parties' interests, and meeting regulatory obligations in the Danish financial services sector.
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Key Requirements PROMPT example:
Financial Advisor Contract
I need a Financial Advisor Contract for my wealth management firm based in Copenhagen, focusing on high-net-worth individuals, with specific provisions for international investment advisory and quarterly performance reporting, to be implemented by March 2025.
1. Parties: Identification of the Financial Advisor and the Client, including registration numbers and contact details
2. Background: Context of the agreement and brief description of the advisory services to be provided
3. Definitions: Key terms used throughout the agreement, including specific financial and technical terms
4. Scope of Services: Detailed description of the financial advisory services to be provided, including any limitations
5. Advisor's Obligations: Specific duties and responsibilities of the Financial Advisor, including regulatory compliance requirements
6. Client's Obligations: Client's responsibilities, including provision of accurate information and cooperation
7. Fees and Payment: Fee structure, payment terms, and any additional costs or expenses
8. Confidentiality: Obligations regarding confidential information and data protection requirements
9. Compliance with Laws: Commitment to comply with relevant Danish and EU financial regulations
10. Liability and Indemnification: Extent and limitations of advisor's liability and indemnification provisions
11. Term and Termination: Duration of the agreement and circumstances for termination
12. General Provisions: Standard clauses including notices, amendments, and governing law
1. Investment Strategy: Used when the advice includes specific investment strategy recommendations
2. Portfolio Management: Include when the advisor has discretionary management authority
3. Regulatory Disclosures: Additional section for specific regulatory requirements based on service type
4. Performance Reporting: Include when regular performance reporting is part of the service
5. Third-Party Services: Used when external service providers or platforms are involved
6. Insurance Coverage: Details of professional indemnity insurance when required by client
7. Conflict Resolution: Additional dispute resolution procedures beyond standard provisions
8. International Services: Include when advisory services extend beyond Denmark
1. Schedule A - Fee Schedule: Detailed breakdown of all fees, charges, and commission structures
2. Schedule B - Service Level Agreement: Specific details about service delivery, response times, and reporting frequency
3. Schedule C - Investment Policy Statement: Document outlining investment objectives, constraints, and guidelines
4. Schedule D - Risk Disclosure: Detailed disclosure of risks associated with different types of investments
5. Appendix 1 - Advisor Qualifications: Details of advisor's certifications, registrations, and qualifications
6. Appendix 2 - Compliance Procedures: Overview of internal compliance procedures and controls
7. Appendix 3 - Data Processing Agreement: GDPR-compliant data processing terms and procedures
8. Appendix 4 - Client Risk Profile: Template for documenting client's risk tolerance and investment profile
Authors
Relevant legal definitions
Clauses
Relevant Industries
Financial Services
Banking
Investment Management
Wealth Management
Insurance
Corporate Finance
Private Equity
Real Estate
Professional Services
Asset Management
Pension Funds
Family Offices
Relevant Teams
Legal
Compliance
Risk Management
Wealth Management
Investment Advisory
Client Relations
Portfolio Management
Financial Planning
Corporate Finance
Operations
Business Development
Investment Strategy
Relevant Roles
Financial Advisor
Investment Consultant
Wealth Manager
Portfolio Manager
Chief Investment Officer
Compliance Officer
Legal Counsel
Risk Manager
Client Relationship Manager
Investment Strategist
Financial Planner
Private Banker
Treasury Manager
Finance Director
Investment Director
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