The Financial Consultant Contract is essential for businesses operating in Hong Kong's financial services sector that engage external financial expertise. This document is typically used when engaging either individual financial consultants or consulting firms to provide specialized financial advisory services, analysis, or strategic guidance. The contract ensures compliance with Hong Kong's regulatory requirements, including the Securities and Futures Ordinance and relevant financial regulations. It covers crucial elements such as service scope, compensation structures, regulatory compliance obligations, confidentiality requirements, and professional standards. This agreement is particularly important given Hong Kong's status as a major financial hub and its strict regulatory environment, which requires careful attention to licensing, compliance, and professional conduct standards.
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1. Parties: Identification of the company and the financial consultant, including registration/license numbers
2. Background: Context of the engagement and brief description of the company's need for financial consulting services
3. Definitions: Key terms used throughout the agreement, including regulatory and technical financial terms
4. Scope of Services: Detailed description of financial consulting services to be provided, including any limitations
5. Term and Termination: Duration of the agreement and circumstances under which it can be terminated
6. Compensation and Payment Terms: Fee structure, payment schedule, and any performance-based compensation
7. Regulatory Compliance: Obligations to comply with relevant financial regulations and maintain necessary licenses
8. Confidentiality: Protection of sensitive financial and client information
9. Data Protection: Compliance with PDPO and data handling requirements
10. Independent Contractor Status: Clarification of the consultant's status as an independent contractor
11. Intellectual Property: Ownership of reports, analyses, and other materials produced
12. Indemnification: Mutual indemnification provisions for potential claims or losses
13. Insurance: Required professional indemnity and other insurance coverage
14. Governing Law and Jurisdiction: Hong Kong law and jurisdiction clause
1. Non-Compete: Restrictions on working with competitors, optional based on seniority and market access
2. Performance Metrics: Specific KPIs and evaluation criteria, useful for performance-based compensation
3. Client Management: Procedures for handling client relationships, needed if consultant has direct client contact
4. Team and Resources: Details of team members and resources if consultant works with a team
5. Training and Development: Requirements for ongoing professional development and training
6. Expenses: Policy on reimbursable expenses and approval procedures
7. Succession Planning: Procedures for handover of clients/projects upon termination
1. Schedule 1 - Service Description: Detailed breakdown of specific financial consulting services
2. Schedule 2 - Fee Structure: Detailed compensation terms, including any bonus or commission structures
3. Schedule 3 - Compliance Requirements: Specific regulatory requirements and licenses needed
4. Schedule 4 - Required Reports: List and format of required reports and deliverables
5. Appendix A - Code of Conduct: Company's code of conduct and ethical requirements
6. Appendix B - Data Protection Policies: Detailed data protection and privacy procedures
7. Appendix C - Client Handling Procedures: Protocols for client interactions and management
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