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Financial Advisor Contract

Financial Advisor Contract Template for Singapore

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Key Requirements PROMPT example:

Financial Advisor Contract Template

"I need a Financial Advisor Contract Template for my wealth management firm in Singapore, specifically covering high-net-worth individual clients with portfolios over SGD 5 million, with enhanced confidentiality clauses and detailed performance reporting requirements to be implemented by March 2025."

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What is a Financial Advisor Contract?

The Financial Advisor Contract Template is essential for establishing professional relationships in Singapore's financial advisory sector. It ensures compliance with the Financial Advisers Act and MAS regulations while protecting both advisor and client interests. This document is crucial when formalizing advisory services, whether for individual wealth management, corporate financial planning, or insurance advisory. It covers essential elements including service scope, fees, confidentiality, and regulatory compliance, while incorporating Singapore-specific legal requirements and industry standards.

What sections should be included in a Financial Advisor Contract?

1. Parties: Identification of the financial advisor and client

2. Background: Context of the agreement and relationship between advisor and client

3. Definitions: Key terms used throughout the agreement including regulatory terms

4. Scope of Services: Detailed description of financial advisory services to be provided under FAA guidelines

5. Fees and Payment Terms: Compensation structure and payment details in accordance with MAS requirements

6. Obligations and Responsibilities: Duties of both advisor and client as per FAA and MAS guidelines

7. Confidentiality: Protection of sensitive information and PDPA compliance measures

8. Term and Termination: Duration of agreement and conditions for termination

What sections are optional to include in a Financial Advisor Contract?

1. Non-Competition: Restrictions on competitive activities when advisor has access to sensitive client information

2. Force Majeure: Provisions for unforeseen circumstances in long-term advisory relationships

3. Insurance Requirements: Professional indemnity insurance details for high-value portfolio management

What schedules should be included in a Financial Advisor Contract?

1. Fee Schedule: Detailed breakdown of all fees and charges as required by MAS guidelines

2. Service Level Agreement: Specific performance metrics and service standards for the advisory relationship

3. Risk Disclosure Statement: Mandatory risk disclosures as required by MAS regulations

4. Compliance Procedures: Internal compliance protocols and requirements under FAA and SFA

Authors

Alex Denne

Head of Growth (Open Source Law) @ Ƶ | 3 x UCL-Certified in Contract Law & Drafting | 4+ Years Managing 1M+ Legal Documents | Serial Founder & Legal AI Author

alex.den.21@genieai.co
Relevant legal definitions




























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Industries

Financial Advisers Act (FAA): Primary legislation governing financial advisory services in Singapore, establishing licensing requirements and regulatory framework

Securities and Futures Act (SFA): Key legislation governing securities, futures, and derivatives markets in Singapore, including requirements for financial advice related to these products

Monetary Authority of Singapore Act: Establishes MAS as the regulatory authority and its powers to supervise financial institutions including financial advisors

MAS Guidelines on Standards of Conduct: Regulatory guidelines establishing expected professional standards and conduct for financial advisers

Financial Advisers Regulations: Detailed regulatory requirements and operational guidelines for financial advisory services

Notice FAA-N16: Specific guidelines on making recommendations on investment products to ensure fair dealing and suitable advice

Notice FAA-N03: Requirements for information disclosure to clients and product information transparency

Personal Data Protection Act: Legislation governing the collection, use, and disclosure of personal data, crucial for client information handling

Singapore Contract Law: Common law principles governing contract formation, execution, and enforcement

Employment Act: Relevant when the financial advisor is classified as an employee, governing employment terms and conditions

Licensing Requirements: Specific requirements for obtaining and maintaining financial advisor licenses and relevant qualifications

Fiduciary Duties: Legal obligations to act in the best interest of clients and maintain highest standards of integrity

Disclosure Requirements: Obligations to disclose all material information, fees, conflicts of interest, and risks to clients

Record-Keeping Requirements: Obligations to maintain proper documentation of client interactions, advice, and transactions

Professional Indemnity Insurance: Requirements for maintaining adequate professional liability insurance coverage

Teams

Employer, Employee, Start Date, Job Title, Department, Location, Probationary Period, Notice Period, Salary, Overtime, Vacation Pay, Statutory Holidays, Benefits, Bonus, Expenses, Working Hours, Rest Breaks,  Leaves of Absence, Confidentiality, Intellectual Property, Non-Solicitation, Non-Competition, Code of Conduct, Termination,  Severance Pay, Governing Law, Entire Agreemen

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