The Financial Consultant Contract is essential for establishing professional financial advisory relationships under Dutch law. It is primarily used when engaging independent financial consultants or advisory firms to provide specialized financial services, ensuring compliance with Dutch regulatory requirements including the Financial Supervision Act (Wft), GDPR, and anti-money laundering regulations. This contract type is crucial for protecting both parties' interests while maintaining regulatory compliance, particularly in the Netherlands' highly regulated financial services sector. It includes detailed provisions for service scope, compensation, professional liability, data protection, and regulatory obligations, making it suitable for various financial advisory arrangements from one-time projects to ongoing consultancy relationships.
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1. Parties: Identification of the contracting parties, including registration numbers, addresses, and regulatory licenses
2. Background: Context of the agreement and confirmation of consultant's qualifications and regulatory compliance
3. Definitions: Key terms used throughout the agreement, including specific financial and regulatory terminology
4. Appointment and Scope of Services: Details of the consultant's appointment and comprehensive description of financial consulting services to be provided
5. Term and Termination: Duration of the agreement and circumstances under which it can be terminated
6. Fees and Payment Terms: Compensation structure, payment schedule, expenses, and invoicing procedures
7. Obligations of the Consultant: Professional standards, regulatory compliance, reporting requirements, and service delivery obligations
8. Client Obligations: Client's responsibilities including information provision, cooperation, and payment obligations
9. Regulatory Compliance: Specific provisions ensuring compliance with Wft and other relevant financial regulations
10. Confidentiality and Data Protection: GDPR compliance, data handling procedures, and confidentiality obligations
11. Intellectual Property: Ownership and usage rights of reports, analyses, and other materials produced
12. Liability and Indemnification: Limitation of liability, professional indemnity requirements, and insurance obligations
13. Independent Contractor Status: Clear establishment of independent contractor relationship and tax responsibilities
14. General Provisions: Standard clauses including notices, amendments, governing law, and dispute resolution
1. Non-Compete and Non-Solicitation: Restrictions on competitive activities and client solicitation, optional based on nature of services and client requirements
2. Service Level Agreement: Specific performance metrics and service standards, recommended for longer-term or complex engagements
3. Force Majeure: Provisions for unforeseen circumstances, recommended for longer-term contracts
4. Assignment and Subcontracting: Rights to transfer obligations or use subcontractors, include if relevant to service delivery model
5. Anti-Corruption and Anti-Money Laundering: Specific provisions for compliance with anti-corruption laws, recommended for high-value or international contracts
6. Change Control: Procedures for managing changes to services or terms, useful for long-term or complex engagements
1. Schedule 1 - Services Description: Detailed specification of financial consulting services, deliverables, and timelines
2. Schedule 2 - Fee Schedule: Detailed breakdown of fees, rates, and payment terms
3. Schedule 3 - Service Levels: Specific performance metrics and quality standards
4. Schedule 4 - Data Processing Agreement: GDPR-compliant data processing terms and procedures
5. Schedule 5 - Insurance Requirements: Detailed insurance obligations and coverage requirements
6. Appendix A - Required Qualifications and Certifications: List of required professional qualifications and regulatory certifications
7. Appendix B - Compliance Procedures: Specific procedures for maintaining regulatory compliance
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