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Financial Consulting Services Agreement

Financial Consulting Services Agreement Template for Switzerland

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Key Requirements PROMPT example:

Financial Consulting Services Agreement

"I need a Financial Consulting Services Agreement under Swiss law for my boutique wealth management firm providing services to high-net-worth retail clients, with specific provisions for cross-border advisory services into Germany and Austria."

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Document background
The Financial Consulting Services Agreement is essential for establishing professional financial advisory relationships in Switzerland. It is designed to comply with strict Swiss regulatory requirements, particularly the Federal Act on Financial Services (FinSA/FIDLEG) and the Federal Act on Financial Institutions (FinIA). This agreement is typically used when a financial consultant or advisory firm provides professional financial guidance, investment advice, or strategic financial planning services to clients. The document incorporates mandatory regulatory elements including client classification, risk disclosures, and duty of care obligations, while also addressing practical aspects such as service scope, fees, and confidentiality. It's particularly important in the Swiss context due to the jurisdiction's sophisticated financial services regulatory framework and its position as a global financial center.
Suggested Sections

1. Parties: Identification of the financial consultant and the client, including registration/license numbers and regulatory status

2. Background: Context of the agreement and brief description of the parties' intentions

3. Definitions: Definitions of key terms used throughout the agreement

4. Scope of Services: Detailed description of the financial consulting services to be provided

5. Regulatory Compliance: Obligations regarding FinSA/FIDLEG compliance and other applicable regulations

6. Client Classification: Classification of the client according to FinSA categories (retail/professional/institutional)

7. Duties and Obligations: Specific responsibilities of both parties, including information provision and cooperation

8. Fees and Payment Terms: Detailed fee structure, payment schedule, and expenses

9. Representations and Warranties: Key statements and guarantees from both parties

10. Confidentiality and Data Protection: Obligations regarding client data protection and business confidentiality

11. Liability and Indemnification: Limitation of liability and indemnification provisions

12. Term and Termination: Duration of agreement and termination provisions

13. Dispute Resolution: Procedure for resolving disputes, including jurisdiction and applicable law

14. General Provisions: Standard boilerplate clauses including notices, amendments, and severability

Optional Sections

1. International Services: Additional provisions for cross-border services, required when serving clients outside Switzerland

2. Sub-contractors: Provisions regarding the appointment and management of sub-contractors, if applicable

3. Intellectual Property: IP rights and usage provisions, particularly relevant for proprietary analysis tools or methodologies

4. Insurance: Specific insurance requirements and coverage obligations

5. Force Majeure: Provisions for unforeseen circumstances preventing performance

6. Non-Solicitation: Restrictions on soliciting employees or clients, if required

7. Business Continuity: Provisions for ensuring service continuity, particularly important for institutional clients

8. Reporting Requirements: Specific reporting obligations, particularly relevant for regulated clients

Suggested Schedules

1. Schedule 1: Service Description: Detailed description of specific financial consulting services and deliverables

2. Schedule 2: Fee Schedule: Detailed breakdown of fees, rates, and payment terms

3. Schedule 3: Service Levels: Performance metrics and service level commitments

4. Schedule 4: Key Personnel: Details of key team members and their qualifications

5. Schedule 5: Compliance Requirements: Specific regulatory and compliance obligations

6. Appendix A: Data Processing Agreement: Detailed terms for processing personal data in compliance with FADP

7. Appendix B: Required Disclosures: Mandatory disclosures under FinSA and other regulations

8. Appendix C: Client Classification Documentation: Documentation supporting client classification under FinSA

Authors

Alex Denne

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

Linkedin in social icon imageX social icon image
alex.den.21@genieai.co
Relevant legal definitions
Agreement
Applicable Law
Business Day
Client
Confidential Information
Consulting Services
Client Classification
Deliverables
Effective Date
Fees
Financial Advice
Financial Instruments
FinSA
Force Majeure
Intellectual Property Rights
Investment Recommendations
Key Personnel
Personal Data
Professional Client
Retail Client
Institutional Client
Regulatory Requirements
Services
Service Levels
Term
Territory
Third Party
Working Hours
Client Information
Compliance Requirements
Data Protection Laws
Due Diligence
Engagement Letter
Financial Markets
Good Industry Practice
Investment Objectives
Material Adverse Change
Performance Standards
Risk Profile
Scope of Services
Swiss Law
FINMA
Affiliated Companies
Authorization
Conflict of Interest
Financial Service Provider
Clauses
Parties and Interpretation
Scope of Services
Term and Duration
Regulatory Compliance
Client Classification
Service Provider Obligations
Client Obligations
Fees and Payment
Invoicing
Performance Standards
Client Instructions
Best Execution
Risk Disclosure
Suitability and Appropriateness
Conflict of Interest
Confidentiality
Data Protection
Professional Secrecy
Record Keeping
Intellectual Property
Representations and Warranties
Liability and Indemnification
Force Majeure
Termination
Consequences of Termination
Assignment and Subcontracting
Amendments
Notices
Severability
Entire Agreement
Governing Law
Jurisdiction
Dispute Resolution
Anti-Money Laundering
Regulatory Reporting
Insurance
Business Continuity
Personnel
Non-Solicitation
Third Party Rights
Compliance with Laws
Client Documentation
Electronic Communications
Language
Relevant Industries

Financial Services

Banking

Investment Management

Wealth Management

Corporate Finance

Private Equity

Insurance

FinTech

Professional Services

Family Office Services

Business Consulting

Asset Management

Relevant Teams

Legal

Compliance

Finance

Risk Management

Investment Advisory

Wealth Management

Corporate Finance

Business Development

Client Relations

Operations

Treasury

Regulatory Affairs

Relevant Roles

Financial Consultant

Wealth Manager

Investment Advisor

Chief Financial Officer

Legal Counsel

Compliance Officer

Risk Manager

Portfolio Manager

Business Development Manager

Client Relationship Manager

Financial Director

Treasury Manager

Corporate Finance Manager

Managing Partner

Head of Advisory Services

Industries
Swiss Federal Act on Financial Services (FinSA/FIDLEG): Regulates the provision of financial services and offering of financial instruments, including requirements for financial service providers, client categorization, and rules of conduct
Swiss Code of Obligations (OR): Contains the fundamental principles of contract law, including formation, performance, and termination of contracts, as well as specific provisions for service agreements
Federal Act on Data Protection (FADP): Governs the protection of personal data and privacy rights, crucial for handling client financial information
Anti-Money Laundering Act (AMLA): Sets requirements for due diligence and reporting obligations in financial transactions to prevent money laundering
Swiss Federal Act on Financial Institutions (FinIA): Establishes licensing requirements and supervisory provisions for financial institutions and service providers
FINMA Circulars: Regulatory guidance and specific requirements issued by the Swiss Financial Market Supervisory Authority
Swiss Civil Code: Contains basic principles of law that may affect the consulting relationship, including personality rights and general principles of good faith
Federal Act on Unfair Competition (UCA): Regulates fair business practices and protects against misleading or deceptive conduct in business relationships
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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