The Financial Advisor Independent Contractor Agreement is essential for establishing clear professional relationships in the UK financial services sector. This document, governed by English and Welsh law, is used when engaging independent financial advisors who provide specialized financial services while maintaining their independent contractor status. It ensures compliance with FCA regulations, defines service scope, establishes compensation structures, and addresses key aspects such as client confidentiality, regulatory requirements, and professional obligations. The agreement is particularly important for maintaining clear boundaries between employment and contractor status while ensuring regulatory compliance.
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1. Parties: Identification of contracting parties and their details
2. Background: Context of the agreement and relationship between parties
3. Definitions: Key terms used throughout the agreement
4. Services: Detailed description of financial advisory services to be provided
5. Compensation: Payment terms, fees, and commission structures
6. Term and Termination: Duration of agreement and termination provisions
7. Regulatory Compliance: FCA compliance obligations and requirements
8. Confidentiality: Protection of sensitive information
9. Independent Contractor Status: Clarification of relationship and tax status
1. Non-Compete: Restrictions on competitive activities and protection of client relationships
2. Intellectual Property: Ownership of materials, methods, and proprietary systems
3. Insurance: Professional indemnity insurance requirements and coverage specifications
1. Schedule of Services: Detailed breakdown of specific services to be provided
2. Fee Schedule: Detailed fee structure and payment terms
3. Compliance Procedures: Specific regulatory compliance requirements and procedures
4. Required Qualifications: List of mandatory professional qualifications and certifications
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