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Financial Engagement Letter

Financial Engagement Letter Template for Switzerland

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Key Requirements PROMPT example:

Financial Engagement Letter

"I need a Financial Engagement Letter for a Swiss private banking relationship with a high-net-worth individual client, including portfolio management and wealth advisory services, to commence from March 1, 2025."

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Document background
The Financial Engagement Letter is a critical document used in the Swiss financial services industry to formalize the relationship between financial service providers and their clients. It serves as the foundational document that defines the scope of services, responsibilities, and terms of engagement while ensuring compliance with Swiss regulatory requirements, particularly the Financial Services Act (FinSA/FIDLEG) and related regulations. The letter typically includes essential elements such as client classification, service descriptions, fee structures, risk disclosures, and confidentiality obligations. This document is particularly important in Switzerland's sophisticated financial services market, where regulatory compliance and clear documentation of professional relationships are paramount. The Financial Engagement Letter should be customized based on the specific financial services being offered, the client's classification, and the particular requirements of the engagement while maintaining compliance with Swiss legal and regulatory frameworks.
Suggested Sections

1. Letterhead and Date: Firm's details, professional credentials, and date of the letter

2. Client Information: Full name and address of the client or authorized representative

3. Client Classification: Classification of the client (retail, professional, or institutional) as per FinSA requirements

4. Scope of Services: Detailed description of the financial services to be provided, including any limitations

5. Fee Structure: Clear outline of all fees, charges, and payment terms

6. Professional Standards: Commitment to professional standards and regulatory compliance

7. Confidentiality: Information handling and Swiss banking secrecy obligations

8. Duration and Termination: Terms regarding the engagement period and termination conditions

9. Signature Blocks: Space for client and firm representative signatures with dates

Optional Sections

1. Investment Strategy: Include when providing investment management services, outlining the agreed investment approach

2. Conflict of Interest: Required when there are specific potential conflicts to disclose

3. Third-Party Services: Include when external service providers or sub-advisors will be involved

4. Tax Considerations: Add when tax advisory or tax implications need to be specifically addressed

5. Cross-Border Services: Include when services will be provided across jurisdictions

6. Digital Services Access: Add when providing access to online platforms or digital services

Suggested Schedules

1. Fee Schedule: Detailed breakdown of all fees, charges, and commission structures

2. Risk Disclosure Statement: Comprehensive outline of potential risks as required by FinSA

3. Service Level Details: Specific details about service levels, response times, and deliverables

4. Key Information Document: Required for certain financial instruments under FinSA

5. Terms and Conditions: General terms and conditions referenced in the main letter

6. Power of Attorney: If required for managing accounts or executing transactions

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
Assets
Authorized Person
Banking Day
Client
Client Classification
Confidential Information
Custody Services
Digital Services
Effective Date
Engagement
Fees
Financial Instruments
Financial Services
FinSA/FIDLEG
Force Majeure
Investment Guidelines
Investment Objectives
Investment Profile
Investment Strategy
Key Information Document
Mandate
Net Asset Value
Portfolio
Professional Client
Regulatory Authority
Related Documentation
Representatives
Risk Profile
Securities
Services
Swiss Banking Day
Swiss FINMA
Term
Third Party Provider
Transaction
Clauses
Scope of Services
Client Classification
Fees and Charges
Payment Terms
Client Representations
Service Provider Representations
Confidentiality
Data Protection
Banking Secrecy
Risk Disclosure
Investment Guidelines
Regulatory Compliance
Anti-Money Laundering
Conflicts of Interest
Client Communication
Reporting Obligations
Duration and Termination
Amendment
Force Majeure
Liability and Indemnification
Assignment
Delegation
Third Party Services
Electronic Communications
Record Keeping
Complaints Handling
Governing Law
Jurisdiction
Severability
Entire Agreement
Relevant Industries

Financial Services

Banking

Wealth Management

Investment Management

Private Banking

Corporate Finance

Insurance

Asset Management

Professional Services

Family Office Services

Relevant Teams

Legal

Compliance

Finance

Risk Management

Investment Management

Wealth Management

Client Relations

Corporate Finance

Treasury

Private Banking

Asset Management

Operations

Relevant Roles

Chief Financial Officer

Compliance Officer

Legal Counsel

Investment Manager

Wealth Manager

Portfolio Manager

Financial Advisor

Risk Manager

Relationship Manager

Head of Private Banking

Chief Investment Officer

Asset Manager

Treasury Manager

Corporate Finance Director

Financial Controller

Industries
Swiss Code of Obligations (CO): The primary source of Swiss contract law that governs the formation, performance, and termination of contracts, including specific provisions for mandate agreements (Articles 394-406 CO) which typically apply to engagement letters.
Financial Services Act (FinSA/FIDLEG): Regulates the provision of financial services and offering of financial instruments, including requirements for client classification, information duties, and documentation obligations.
Financial Institutions Act (FinIA/FINIG): Sets forth the requirements and obligations for financial institutions operating in Switzerland, including licensing requirements and organizational rules.
Federal Act on Data Protection (FADP): Governs the processing of personal data by private persons and federal bodies, particularly relevant for handling client financial information.
Anti-Money Laundering Act (AMLA): Establishes due diligence obligations for financial intermediaries and requirements for preventing money laundering and terrorist financing.
Swiss Civil Code: Contains general principles of Swiss law, including provisions on legal capacity, good faith, and abuse of rights that may affect the engagement relationship.
Swiss Banking Act: Regulates banking activities and financial institutions, including provisions on client confidentiality and professional secrecy.
FINMA Circulars: Regulatory guidance issued by the Swiss Financial Market Supervisory Authority that provides detailed requirements for financial services and institutions.
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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