The Investment Advisor Contract serves as a crucial legal framework for establishing and governing the relationship between investment advisors and their clients in Denmark. This document is essential when providing professional investment advisory services, whether to individual or institutional clients, and must comply with Danish financial regulations, including the Danish Financial Business Act and MiFID II implementation requirements. The contract typically includes detailed provisions on service scope, fee structures, regulatory compliance, risk disclosures, and professional obligations. It's particularly important for ensuring clear accountability and regulatory compliance in the Danish financial services sector, where investment advisory services are strictly regulated. The Investment Advisor Contract should be customized based on whether the client is retail or institutional, and whether the services include ongoing portfolio management or one-time advisory services.
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Key Requirements PROMPT example:
Investment Advisor Contract
I need an Investment Advisor Contract under Danish law for a wealth management firm providing services to high-net-worth individuals, with specific focus on cross-border investment advisory services and cryptocurrency investments.
1. Parties: Identification of the investment advisor and the client, including registration numbers and contact details
2. Background: Context of the agreement and brief description of the parties' intentions
3. Definitions: Key terms used throughout the agreement
4. Scope of Services: Detailed description of investment advisory services to be provided
5. Advisor's Obligations: Specific duties, responsibilities, and standard of care required from the advisor
6. Client's Obligations: Client's responsibilities, including providing accurate information and prompt communication
7. Fees and Payment: Fee structure, payment terms, and any additional charges
8. Compliance and Regulatory Matters: Regulatory obligations, including MiFID II requirements and anti-money laundering compliance
9. Confidentiality: Obligations regarding confidential information and data protection
10. Conflicts of Interest: Procedures for identifying and managing potential conflicts
11. Term and Termination: Duration of agreement and termination provisions
12. Liability and Indemnification: Limitation of liability and indemnification provisions
13. General Provisions: Standard legal provisions including governing law, notices, and amendments
1. Investment Strategy: Detailed investment strategy and guidelines - include when providing ongoing portfolio management services
2. Performance Reporting: Reporting obligations and performance measurement criteria - include for ongoing advisory relationships
3. Sub-Advisors: Terms regarding the appointment and oversight of sub-advisors - include when sub-advisors may be used
4. Insurance: Professional indemnity insurance requirements - include for higher-value advisory relationships
5. International Transactions: Provisions for cross-border advisory services - include when dealing with international clients
6. Electronic Services: Terms for digital platform usage and electronic communication - include when providing online services
1. Fee Schedule: Detailed breakdown of all fees, charges, and commission structures
2. Services Description: Comprehensive description of advisory services and any excluded services
3. Investment Risk Disclosure: Detailed risk warnings and investment risk descriptions
4. Compliance Procedures: Details of compliance requirements and procedures to be followed
5. Privacy Policy: Detailed privacy and data protection policies
6. Required Client Information: Template for client information collection as required by regulations
7. Execution Policy: Policy for executing investment recommendations when applicable
Authors
Relevant legal definitions
Clauses
Relevant Industries
Financial Services
Banking
Investment Management
Wealth Management
Private Equity
Insurance
Pension Funds
Family Office Services
Professional Services
Corporate Advisory
Relevant Teams
Legal
Compliance
Investment Advisory
Wealth Management
Risk Management
Client Services
Operations
Regulatory Affairs
Investment Management
Private Banking
Relevant Roles
Investment Advisor
Financial Advisor
Wealth Manager
Portfolio Manager
Compliance Officer
Legal Counsel
Risk Manager
Client Relationship Manager
Chief Investment Officer
Financial Services Director
Investment Consultant
Private Banker
Head of Advisory Services
Regulatory Compliance Manager
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