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Financial Advisory Agreement

Financial Advisory Agreement Template for Malaysia

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Key Requirements PROMPT example:

Financial Advisory Agreement

"I need a Financial Advisory Agreement for my wealth management firm to provide digital advisory services to high-net-worth individual clients in Malaysia, including automated portfolio management and online reporting features."

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Document background
The Financial Advisory Agreement serves as the primary legal document establishing the relationship between licensed financial advisors and their clients in Malaysia. This agreement is essential for compliance with Malaysian financial regulations, particularly the Capital Markets and Services Act 2007 and Financial Services Act 2013. It details the scope of advisory services, fee structures, fiduciary duties, and risk disclosures while protecting both parties' interests. The document is adaptable for various client types, from individual investors to institutional clients, and can accommodate both conventional and Islamic financial advisory services. It includes specific provisions required by Malaysian regulators, such as mandatory risk disclaimers, conflict of interest disclosures, and client suitability assessments. The agreement is particularly crucial in the current Malaysian financial landscape, where increased regulatory oversight and client protection requirements necessitate clear documentation of advisory relationships.
Suggested Sections

1. Parties: Identification of the financial advisor and client, including licensing details and registration numbers

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 and technical financial terms

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

5. Appointment and Authority: Formal appointment of advisor and extent of their authority to act on behalf of client

6. Duties and Responsibilities: Obligations of the financial advisor, including fiduciary duties and standard of care

7. Client Representations and Warranties: Client's confirmations regarding their financial situation, understanding of risks, and authority to enter agreement

8. Fees and Compensation: Detailed fee structure, payment terms, and any additional charges

9. Confidentiality: Obligations regarding protection and non-disclosure of confidential information

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

11. Risk Disclosures: Mandatory risk warnings and disclaimers as required by Malaysian regulations

12. Termination: Conditions and procedures for terminating the advisory relationship

13. Indemnification: Mutual indemnification provisions and limitation of liability

14. General Provisions: Standard clauses including notices, amendments, governing law, and dispute resolution

Optional Sections

1. Digital Services: Required when providing online or robo-advisory services, detailing digital platform terms and access

2. Islamic Financial Advisory: Required when providing Shariah-compliant advisory services, including relevant principles and compliance

3. Discretionary Management: Include when the advisor has discretionary authority over client accounts

4. International Services: Required when providing cross-border advisory services, including relevant jurisdictional considerations

5. Research Services: Include when providing investment research as part of the advisory service

6. Corporate Advisory: Required for institutional clients receiving corporate financial advisory services

Suggested Schedules

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

2. Schedule 2 - Scope of Services: Comprehensive list of specific services included in the agreement

3. Schedule 3 - Investment Policy Statement: Client's investment objectives, risk tolerance, and investment constraints

4. Schedule 4 - Authorized Representatives: List of persons authorized to act on behalf of client and advisor

5. Appendix A - Risk Disclosure Statement: Detailed risk disclosures as required by Malaysian regulations

6. Appendix B - Compliance Requirements: Specific regulatory requirements and compliance procedures

7. Appendix C - Client Information Form: KYC documentation and client profile information

8. Appendix D - Service Level Agreement: Specific performance standards and service levels to be maintained

Authors

Alex Denne

Head of Growth (Open Source Law) @ ºÚÁÏÊÓƵ | 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

Investment Management

Banking

Wealth Management

Corporate Finance

Islamic Finance

Asset Management

Private Equity

Insurance

Family Office Services

Investment Advisory

Fund Management

Corporate Advisory

Retail Banking

Capital Markets

Relevant Teams

Legal

Compliance

Risk Management

Investment Advisory

Wealth Management

Corporate Finance

Client Relations

Operations

Islamic Finance

Portfolio Management

Research

Product Development

Private Banking

Regulatory Affairs

Relevant Roles

Financial Advisor

Wealth Manager

Investment Consultant

Legal Counsel

Compliance Officer

Risk Manager

Chief Investment Officer

Portfolio Manager

Client Relationship Manager

Investment Analyst

Corporate Finance Manager

Islamic Financial Advisor

Chief Financial Officer

Managing Director

Head of Advisory Services

Director of Compliance

Investment Director

Private Banking Manager

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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