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Financial Advisory Agreement

Financial Advisory Agreement Template for Netherlands

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Key Requirements PROMPT example:

Financial Advisory Agreement

"I need a Financial Advisory Agreement for my wealth management firm in Amsterdam to provide personal investment advice to high-net-worth retail clients, including specific provisions for sustainable investment strategies and quarterly performance reviews."

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Document background
The Financial Advisory Agreement is essential for establishing a formal relationship between financial advisors and their clients in the Netherlands. This document is required when providing professional financial advisory services and must comply with strict Dutch regulatory requirements, particularly the Wet op het financieel toezicht (Wft) and related regulations. It becomes necessary when a client seeks professional financial advice, whether for personal wealth management, investment decisions, or corporate financial planning. The agreement covers crucial aspects such as service scope, fee structures, advisor obligations, client responsibilities, and regulatory compliance measures. It's designed to protect both parties while ensuring transparency and adherence to Dutch financial supervision standards.
Suggested Sections

1. Parties: Identification of the Financial Advisor and the Client, including registration/license numbers and relevant contact details

2. Background: Context of the agreement, brief description of the advisor's services and client's needs

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

4. Scope of Services: Detailed description of the financial advisory services to be provided, including specific areas of advice

5. Advisor's Obligations: Key responsibilities and duties of the advisor, including regulatory compliance requirements

6. Client's Obligations: Client's responsibilities, including providing accurate information and necessary documentation

7. Fees and Payment: Fee structure, payment terms, and billing procedures

8. Confidentiality: Provisions regarding the handling of confidential information

9. Data Protection: GDPR compliance measures and data handling procedures

10. Duration and Termination: Term of the agreement and conditions for termination

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

12. Governing Law and Jurisdiction: Specification of Dutch law as governing law and jurisdiction for disputes

Optional Sections

1. Non-Competition: Restrictions on advisor's ability to serve competing clients - include when dealing with corporate clients or specialized industries

2. Force Majeure: Provisions for unforeseen circumstances - particularly relevant in volatile market conditions

3. Assignment: Rights to transfer the agreement - include when working with larger institutions

4. Investment Objectives: Detailed client investment goals and risk profile - include for investment-focused advisory services

5. Regulatory Disclosures: Additional regulatory declarations - include when providing specific regulated services

6. Client Classification: Classification of client under MiFID II - include when providing investment services to professional clients

Suggested Schedules

1. Schedule 1 - Detailed Service Description: Comprehensive breakdown of all services to be provided

2. Schedule 2 - Fee Schedule: Detailed fee structure including all charges, commissions, and payment terms

3. Schedule 3 - Client Risk Profile: Assessment of client's risk tolerance and investment objectives

4. Schedule 4 - Regulatory Disclosures: Required disclosures under Dutch financial regulations

5. Schedule 5 - Data Processing Agreement: GDPR-compliant data processing terms and procedures

6. Appendix A - Advisor's Licenses and Registrations: Copies or details of relevant regulatory licenses and registrations

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
Advisor
Advisory Services
AFM
Applicable Law
Business Day
Client
Confidential Information
Data Protection Laws
DNB
Effective Date
Fees
Financial Advice
Financial Instruments
Force Majeure Event
GDPR
Investment Objectives
Investment Profile
Investment Strategy
Key Performance Indicators
Licensed Activities
MiFID II
Personal Data
Professional Client
Regulatory Requirements
Retail Client
Risk Profile
Services
Service Level Requirements
Term
Termination Date
Wft
Working Hours
Clauses
Scope of Services
Regulatory Compliance
Professional Standards
Service Delivery
Fees and Expenses
Payment Terms
Client Obligations
Advisor Obligations
Confidentiality
Data Protection
Intellectual Property
Liability
Indemnification
Force Majeure
Term and Duration
Termination
Assignment
Representations and Warranties
Record Keeping
Reporting
Communication
Client Classification
Conflict of Interest
Anti-Money Laundering
Client Due Diligence
Investment Risk Disclosure
Amendment
Severability
Entire Agreement
Notices
Governing Law
Dispute Resolution
Relevant Industries

Financial Services

Banking

Wealth Management

Investment Management

Corporate Finance

Private Banking

Insurance

Pension Funds

Real Estate

Professional Services

Family Offices

Private Equity

Relevant Teams

Legal

Compliance

Finance

Wealth Management

Investment Advisory

Risk Management

Client Relations

Corporate Finance

Private Banking

Business Development

Treasury

Operations

Relevant Roles

Financial Advisor

Wealth Manager

Investment Consultant

Financial Planner

Client Relationship Manager

Compliance Officer

Legal Counsel

Risk Manager

Portfolio Manager

Chief Financial Officer

Treasury Manager

Investment Director

Private Banking Manager

Corporate Finance Advisor

Business Development Manager

Industries
Wet op het financieel toezicht (Wft): Dutch Financial Supervision Act - The main regulatory framework for financial services in the Netherlands, setting requirements for financial advisors, including licensing, expertise requirements, and conduct of business rules
Burgerlijk Wetboek (BW): Dutch Civil Code - Contains fundamental contract law provisions governing agreement formation, validity, obligations, and termination
Algemene Verordening Gegevensbescherming (AVG): General Data Protection Regulation (GDPR) implementation in Dutch law - Governs the processing and protection of personal data
Wet ter voorkoming van witwassen en financieren van terrorisme (Wwft): Anti-Money Laundering and Anti-Terrorist Financing Act - Requires financial advisors to perform client due diligence and report unusual transactions
Besluit Gedragstoezicht financiële ondernemingen (BGfo): Decree on Conduct of Business Supervision of Financial Undertakings - Detailed rules on conduct, information provision, and transparency requirements for financial advisors
Nadere Regeling gedragstoezicht financiële ondernemingen (NRgfo): Further Regulations on Conduct of Business Supervision of Financial Undertakings - Specific requirements regarding advisory processes, documentation, and client communication
Wet handhaving consumentenbescherming: Consumer Protection Enforcement Act - Provides additional consumer protection measures in financial services
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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