The Financial Advisory Agreement is a crucial document used in Pakistan's financial services sector to formalize the relationship between financial advisors and their clients. It is essential for compliance with the Securities and Exchange Commission of Pakistan (SECP) regulations and the Securities Act 2015. This agreement is typically employed when professional financial advice is sought for investments, corporate finance, mergers and acquisitions, or wealth management. The document encompasses key elements such as service scope, fee structures, regulatory compliance requirements, confidentiality provisions, and risk disclosures. It serves as a protective mechanism for both parties by clearly defining their rights, obligations, and the parameters of the advisory relationship while ensuring alignment with Pakistani financial services regulations and market practices.
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1. Parties: Identification of the Financial Advisor and the Client, including their legal names, addresses, and registration details
2. Background: Context of the agreement, including the advisor's qualifications and client's objectives
3. Definitions: Key terms used throughout the agreement defined for clarity and legal certainty
4. Scope of Services: Detailed description of financial advisory services to be provided
5. Term and Termination: Duration of the agreement and conditions for termination
6. Fees and Payment Terms: Structure of advisory fees, payment schedule, and related terms
7. Obligations of the Advisor: Advisor's duties, responsibilities, and standard of care
8. Client's Obligations: Client's responsibilities, including information provision and cooperation
9. Confidentiality: Protection and handling of confidential information
10. Compliance with Laws: Commitment to comply with Pakistani financial regulations and laws
11. Representations and Warranties: Statements of fact and promises by both parties
12. Limitation of Liability: Extent and limitations of the advisor's liability
13. Dispute Resolution: Process for resolving disputes, including jurisdiction and governing law
14. General Provisions: Standard legal provisions including notices, amendments, and severability
1. Non-Competition: Restrictions on advisor's ability to service competing clients, used when dealing with sensitive industry sectors
2. International Services: Additional terms for cross-border advisory services, included when dealing with international clients
3. Team Composition: Details of key personnel assigned to the client, included for larger advisory mandates
4. Research Services: Terms for providing research and analysis, included when research is a specific service offering
5. Digital Services: Terms for online advisory services and digital platform usage, included for digital service delivery
6. Force Majeure: Provisions for unforeseen circumstances, particularly relevant in long-term agreements
1. Schedule A - Fee Structure: Detailed breakdown of all fees, charges, and payment terms
2. Schedule B - Scope of Services: Comprehensive list of specific services and deliverables
3. Schedule C - Service Level Agreement: Performance metrics and service standards
4. Schedule D - Compliance Requirements: Specific regulatory requirements and compliance procedures
5. Appendix 1 - Client Investment Profile: Client's risk profile, investment objectives, and constraints
6. Appendix 2 - Required Disclosures: Mandatory regulatory disclosures and risk warnings
7. Appendix 3 - Key Personnel: Details of key team members and their qualifications
8. Appendix 4 - Reporting Ƶ: Standard formats for regular reports and communications
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