The Financial Consulting Engagement Letter is a critical document used when establishing a professional financial advisory relationship. It serves as both a legal protection and a clear communication tool, detailing the scope of work, fee structure, and terms of service. In the United States, these letters must comply with various regulatory requirements, including SEC regulations, state-specific financial advisory laws, and professional standards. The document typically includes specific provisions for confidentiality, liability limitations, and regulatory disclosures, making it essential for both the consultant and client to clearly understand their rights and obligations.
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 and Contact Information: Identification of consultant and client, including full legal names and addresses
2. Scope of Services: Detailed description of financial consulting services to be provided, including specific deliverables and responsibilities
3. Fee Structure and Payment Terms: Comprehensive details about compensation, billing rates, payment schedules, and expense reimbursement policies
4. Term and Timeline: Duration of engagement, key milestone dates, and project timeline
5. Confidentiality Obligations: Terms regarding protection of client information, data security requirements, and non-disclosure provisions
6. Professional Standards Compliance: Commitment to follow applicable professional standards, regulatory requirements, and industry best practices
1. Investment Adviser Disclosures: Required regulatory disclosures when providing investment advice services under the Investment Advisers Act
2. Conflict of Interest Disclosure: Declaration of potential conflicts and procedures for handling them
3. ERISA Fiduciary Status: Acknowledgment of fiduciary responsibilities and obligations under ERISA regulations
1. Schedule A - Fee Schedule: Detailed breakdown of all fees, charges, and payment terms
2. Schedule B - Form ADV: SEC registration document for investment advisers including required disclosures
3. Schedule C - Professional Qualifications: Documentation of credentials, certifications, and qualifications of key team members
4. Schedule D - Service Level Agreement: Detailed performance metrics, service standards, and response times
Find the exact document you need
Business Consultant Contract Agreement
An England & Wales legal document terminating a bank guarantee, releasing parties from obligations.
Download
Board Of Advisors Agreement
A legal agreement under English and Welsh law establishing the terms and conditions for an individual's appointment to a company's advisory board.
Download
Business Consulting Contract
A legally binding agreement under English and Welsh law that establishes the terms and conditions between a consultant and their client.
Download
Sub Advisor Agreement
A U.S.-governed agreement establishing the relationship between a primary investment advisor and sub-advisor for delegated investment management services.
Download
Investment Consulting Agreement
A U.S.-governed agreement establishing terms for investment consulting services, compliant with federal and state securities laws.
Download
Financial Consulting Engagement Letter
A U.S.-compliant document establishing the terms and conditions between a financial consultant and client, outlining services, fees, and responsibilities.
Download
Financial Consulting Agreement
A U.S.-governed agreement defining terms for professional financial advisory services between a consultant and client, compliant with federal and state regulations.
Download
Financial Consultant Contract
A U.S.-governed agreement establishing terms between a financial consultant and client, covering services, compensation, and regulatory compliance.
Download
Financial Advisory Services Agreement
A U.S.-governed agreement establishing the terms for professional financial advisory services, compliant with federal and state securities laws.
Download
Financial Advisory Agreement
A U.S.-governed agreement establishing the terms for providing professional financial advisory services, compliant with federal and state securities regulations.
Download
Advisory Services Contract
A U.S.-governed contract establishing terms for professional advisory services between a consultant and client.
Download
Advisory Services Agreement
A U.S.-governed contract establishing terms for professional advisory services between a service provider and client.
Download
Advisor Contract
A U.S.-governed contract establishing terms for professional advisory services, including scope, compensation, and obligations.
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)