The Investment Advisor Contract is a crucial legal document used in Saudi Arabia when establishing formal investment advisory relationships between licensed advisors and their clients. This agreement is essential for compliance with Capital Market Authority (CMA) regulations and must be in place before providing any investment advisory services. The contract covers key aspects such as service scope, fee structures, regulatory compliance, risk disclosures, and client protection measures. It's particularly important in the Saudi Arabian context as it must address both conventional and Islamic finance principles where applicable. The document serves as a comprehensive framework for the advisory relationship, ensuring all parties understand their rights and obligations while maintaining compliance with Saudi Arabian laws and regulations.
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Key Requirements PROMPT example:
Investment Advisor Contract
"I need an Investment Advisor Contract for a Saudi-based wealth management firm providing services to high-net-worth individuals, with specific provisions for Shariah-compliant investment strategies and cross-border investments in GCC countries."
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1. Parties: Identification of the Investment Advisor and the Client, including licensing details and corporate information
2. Background: Context of the agreement and brief description of the advisory relationship to be established
3. Definitions: Key terms used throughout the agreement, including regulatory terminology and specific investment-related definitions
4. Scope of Services: Detailed description of investment advisory services to be provided, including any limitations and exclusions
5. Regulatory Compliance: Confirmation of advisor's regulatory status and compliance with CMA regulations
6. Duties and Responsibilities: Specific obligations of the Investment Advisor, including duty of care, loyalty, and compliance with Islamic finance principles if applicable
7. Client Representations: Client's confirmations regarding their status, understanding of risks, and authority to enter into the agreement
8. Fees and Payments: Detailed fee structure, payment terms, and any additional charges
9. Confidentiality: Obligations regarding confidential information and client data protection
10. Conflicts of Interest: Disclosure and management of potential conflicts of interest
11. Risk Disclosures: Mandatory risk warnings and investment risk disclosures
12. Term and Termination: Duration of the agreement and circumstances for termination
13. Liability and Indemnification: Extent of advisor's liability and mutual indemnification provisions
14. Governing Law and Jurisdiction: Confirmation of Saudi Arabian law as governing law and jurisdiction for disputes
15. Notices: Process and requirements for formal communications between parties
1. Shariah Compliance: Required when advisory services must comply with Islamic finance principles
2. Sub-Advisory Arrangements: Include when the advisor may engage sub-advisors for specific services
3. Research Services: Required when specific investment research services are part of the offering
4. Portfolio Management: Include when discretionary portfolio management services are offered
5. Electronic Services: Required when providing online or digital advisory services
6. International Investments: Include when advice covers international investments
7. Force Majeure: Optional clause for unforeseen circumstances affecting service delivery
8. Non-Solicitation: Include when restricting parties from soliciting each other's employees or clients
9. Intellectual Property: Required when proprietary research or trading systems are involved
1. Schedule 1: Fee Schedule: Detailed breakdown of all fees, charges, and payment terms
2. Schedule 2: Investment Policy Statement: Client's investment objectives, constraints, and guidelines
3. Schedule 3: Authorized Persons: List of individuals authorized to act on behalf of each party
4. Schedule 4: Risk Disclosure Statement: Detailed risk warnings and disclosures required by CMA regulations
5. Schedule 5: Service Level Agreement: Specific performance metrics and service standards
6. Appendix A: Compliance Procedures: Detailed compliance requirements and procedures
7. Appendix B: Reporting Requirements: Format and frequency of investment reports and communications
8. Appendix C: KYC Documentation: Required client due diligence and KYC documentation
9. Appendix D: Privacy Policy: Detailed privacy and data protection policies
Authors
Relevant legal definitions
Clauses
Relevant Industries
Financial Services
Banking
Investment Management
Wealth Management
Asset Management
Corporate Finance
Private Equity
Islamic Finance
Fund Management
Professional Services
Family Office Services
Capital Markets
Relevant Teams
Legal
Compliance
Risk Management
Investment Advisory
Wealth Management
Client Services
Operations
Due Diligence
Portfolio Management
Investment Strategy
Islamic Finance
Business Development
Executive Management
Relevant Roles
Investment Advisor
Compliance Officer
Legal Counsel
Risk Manager
Portfolio Manager
Wealth Manager
Financial Advisor
Investment Consultant
Chief Investment Officer
Relationship Manager
Due Diligence Officer
Investment Strategist
Client Services Manager
Operations Manager
Chief Executive Officer
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