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Investment Advisor Contract

Investment Advisor Contract Template for Denmark

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Investment Advisor Contract

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Document background
The Investment Advisor Contract serves as a crucial legal framework for establishing and governing the relationship between investment advisors and their clients in Denmark. This document is essential when providing professional investment advisory services, whether to individual or institutional clients, and must comply with Danish financial regulations, including the Danish Financial Business Act and MiFID II implementation requirements. The contract typically includes detailed provisions on service scope, fee structures, regulatory compliance, risk disclosures, and professional obligations. It's particularly important for ensuring clear accountability and regulatory compliance in the Danish financial services sector, where investment advisory services are strictly regulated. The Investment Advisor Contract should be customized based on whether the client is retail or institutional, and whether the services include ongoing portfolio management or one-time advisory services.
Suggested Sections

1. Parties: Identification of the investment advisor and the client, including registration numbers and contact details

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

3. Definitions: Key terms used throughout the agreement

4. Scope of Services: Detailed description of investment advisory services to be provided

5. Advisor's Obligations: Specific duties, responsibilities, and standard of care required from the advisor

6. Client's Obligations: Client's responsibilities, including providing accurate information and prompt communication

7. Fees and Payment: Fee structure, payment terms, and any additional charges

8. Compliance and Regulatory Matters: Regulatory obligations, including MiFID II requirements and anti-money laundering compliance

9. Confidentiality: Obligations regarding confidential information and data protection

10. Conflicts of Interest: Procedures for identifying and managing potential conflicts

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

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

13. General Provisions: Standard legal provisions including governing law, notices, and amendments

Optional Sections

1. Investment Strategy: Detailed investment strategy and guidelines - include when providing ongoing portfolio management services

2. Performance Reporting: Reporting obligations and performance measurement criteria - include for ongoing advisory relationships

3. Sub-Advisors: Terms regarding the appointment and oversight of sub-advisors - include when sub-advisors may be used

4. Insurance: Professional indemnity insurance requirements - include for higher-value advisory relationships

5. International Transactions: Provisions for cross-border advisory services - include when dealing with international clients

6. Electronic Services: Terms for digital platform usage and electronic communication - include when providing online services

Suggested Schedules

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

2. Services Description: Comprehensive description of advisory services and any excluded services

3. Investment Risk Disclosure: Detailed risk warnings and investment risk descriptions

4. Compliance Procedures: Details of compliance requirements and procedures to be followed

5. Privacy Policy: Detailed privacy and data protection policies

6. Required Client Information: Template for client information collection as required by regulations

7. Execution Policy: Policy for executing investment recommendations when applicable

Authors

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Relevant legal definitions
Advisory Services
Agreement
Applicable Law
Assets Under Advisory
Business Day
Client
Client Information
Confidential Information
Conflicts of Interest
Danish Financial Business Act
Effective Date
Electronic Communications
Fee Schedule
Financial Instruments
Force Majeure
Investment Advice
Investment Guidelines
Investment Objectives
Investment Policy
Investment Profile
Investment Strategy
Investment Universe
MiFID II
Personal Data
Professional Client
Regulatory Authority
Retail Client
Risk Profile
Services
Sub-Advisor
Suitability Assessment
Term
Transaction
Clauses
Scope of Services
Appointment
Regulatory Compliance
Investment Authority
Fees and Expenses
Representations and Warranties
Client Obligations
Advisor Obligations
Risk Disclosure
Confidentiality
Data Protection
Conflicts of Interest
Performance Reporting
Record Keeping
Anti-Money Laundering
Termination
Force Majeure
Assignment
Amendments
Notices
Governing Law
Dispute Resolution
Liability and Indemnification
Entire Agreement
Severability
Electronic Communications
Service Standards
Investment Guidelines
Sub-Advisory
Client Classification
Information Requirements
Best Execution
Relevant Industries
Relevant Teams
Relevant Roles
Industries
Danish Financial Business Act (Lov om finansiel virksomhed): Main framework for financial services regulation in Denmark, implementing EU directives and establishing requirements for financial advisors
MiFID II Implementation in Danish Law: Regulations concerning investment services, including requirements for investor protection, transparency, and conduct of business rules
Danish Contracts Act (Aftaleloven): Fundamental law governing formation and validity of contracts in Denmark, essential for the basic contract structure
Danish Marketing Practices Act (Markedsføringsloven): Regulates marketing of financial services and ensures fair business practices in client communication
Danish Anti-Money Laundering Act (Hvidvaskloven): Implements requirements for customer due diligence and prevention of money laundering in financial services
GDPR and Danish Data Protection Act: Regulates handling of personal data in the context of financial services and client relationships
Danish Executive Order on Investor Protection: Specific requirements for protecting investors, including requirements for information disclosure and assessment of suitability
Danish Capital Markets Act (Kapitalmarkedsloven): Regulates securities trading and investment activities in Danish capital markets
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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