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Financial Advisor Agreement

Financial Advisor Agreement Template for Netherlands

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Key Requirements PROMPT example:

Financial Advisor Agreement

"I need a Financial Advisor Agreement under Dutch law for my wealth management firm that will be providing comprehensive investment advice and portfolio management services to high-net-worth individuals, including specific provisions for online portfolio access and international investments, to be implemented by March 2025."

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Document background
The Financial Advisor Agreement is a crucial document used in the Netherlands when establishing a professional relationship between a licensed financial advisor and their clients. This agreement is essential for compliance with Dutch financial regulations, particularly the Financial Supervision Act (Wft), and includes detailed provisions for service scope, fees, and professional obligations. It's designed to protect both parties while ensuring transparency and regulatory compliance in financial advisory services. The document typically includes comprehensive sections on data protection, professional liability, and specific Dutch regulatory requirements, making it suitable for both individual and corporate clients seeking professional financial advice. The agreement should be regularly reviewed and updated to reflect changes in Dutch financial regulations and specific client needs.
Suggested Sections

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

2. Background: Context of the agreement, including advisor's qualifications and client's objectives

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

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

5. Duties and Responsibilities: Obligations of the Financial Advisor, including duty of care, professional standards, and compliance requirements

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

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

8. Confidentiality: Provisions for handling confidential information and personal data in compliance with GDPR

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

10. Liability and Indemnification: Limitations of liability and professional indemnity provisions

11. Compliance with Laws: Commitment to comply with relevant financial regulations and laws

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

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

Optional Sections

1. Investment Management: Include when services include direct investment management or portfolio management

2. Tax Advisory Services: Include when tax advisory services are part of the scope

3. Insurance Advisory: Include when insurance-related advice is provided

4. Referral Arrangements: Include when there are third-party referral arrangements or commissions

5. Online Services: Include when digital platforms or online services are provided

6. Force Majeure: Include when specific provisions for unforeseen circumstances are needed

7. Non-Compete and Non-Solicitation: Include for high-net-worth clients or when handling sensitive business information

Suggested Schedules

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

2. Schedule B - Service Level Agreement: Specific service standards, response times, and performance metrics

3. Schedule C - Investment Profile: Client's investment objectives, risk tolerance, and investment restrictions

4. Schedule D - Privacy Policy: Detailed privacy policy and data protection procedures

5. Schedule E - Compliance Documentation: Copies of relevant licenses, registrations, and compliance certificates

6. Appendix 1 - Client Information Form: Standard form for collecting client information and preferences

7. Appendix 2 - Risk Disclosure Statement: Detailed disclosure of risks associated with financial advice and investments

Authors

Alex Denne

Head of Growth (Open Source Law) @ ¶¶Òõ¶ÌÊÓƵ | 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


































Clauses






























Relevant Industries

Financial Services

Banking

Insurance

Wealth Management

Professional Services

Investment Management

Corporate Services

Private Banking

Asset Management

Real Estate Investment

Pension Fund Management

Relevant Teams

Legal

Compliance

Risk Management

Wealth Management

Investment Advisory

Client Services

Regulatory Affairs

Financial Planning

Private Banking

Portfolio Management

Operations

Document Management

Relevant Roles

Financial Advisor

Wealth Manager

Investment Consultant

Compliance Officer

Legal Counsel

Risk Manager

Client Relationship Manager

Portfolio Manager

Financial Planning Director

Chief Investment Officer

Head of Advisory Services

Regulatory Affairs Manager

Private Banking Manager

Investment Strategist

Industries








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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