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Financial Advisor Agreement Template for Pakistan

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Key Requirements PROMPT example:

Financial Advisor Agreement

"I need a Financial Advisor Agreement under Pakistani law for my wealth management firm based in Karachi, providing both conventional and Islamic financial advisory services to high-net-worth individuals, with specific provisions for digital reporting and online portfolio access."

Document background
The Financial Advisor Agreement serves as the primary contractual document establishing the professional relationship between financial advisors and their clients in Pakistan. This agreement is essential for both individual advisors and financial advisory firms operating under the regulatory framework of the Securities and Exchange Commission of Pakistan (SECP). It details the scope of advisory services, fee structures, fiduciary responsibilities, and compliance requirements while protecting both parties' interests. The document is particularly crucial given Pakistan's evolving financial services landscape and the increasing emphasis on regulated financial advisory services. Common uses include wealth management services, investment advisory, corporate financial planning, and Islamic financial advisory services.
Suggested Sections

1. Parties: Identification of the Financial Advisor and the Client, including their legal status and contact details

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

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

4. Appointment and Scope of Services: Formal appointment of the advisor and detailed description of financial advisory services to be provided

5. Regulatory Compliance: Acknowledgment of applicable regulations and compliance requirements under Pakistani law

6. Duties and Responsibilities: Detailed obligations of the Financial Advisor, including fiduciary duties and standard of care

7. Client's Obligations: Responsibilities of the client, including providing accurate information and necessary documentation

8. Fees and Payment Terms: Compensation structure, payment schedule, and expense reimbursement terms

9. Confidentiality: Obligations regarding confidential information and client data protection

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

11. Representations and Warranties: Statements of fact and assurances from both parties

12. Limitation of Liability: Extent and limitations of the advisor's liability

13. Dispute Resolution: Process for resolving disputes, including jurisdiction and applicable law

14. General Provisions: Standard legal provisions including notices, amendments, and severability

Optional Sections

1. Investment Policy Guidelines: Used when the agreement includes investment management services, outlining investment strategies and restrictions

2. Research Services: Include when the advisor will provide specific research or market analysis services

3. Performance Reporting: When regular performance reporting is part of the service offering

4. Sub-Advisory Arrangements: Include when the advisor may engage other professionals or sub-advisors

5. Online Services Access: When digital platforms or online services are part of the offering

6. International Transactions: Include for clients requiring cross-border advisory services

7. Shariah Compliance: Used when Islamic financial advisory services are being provided

8. Force Majeure: Detailed provisions for unforeseen circumstances, recommended for long-term agreements

Suggested Schedules

1. Schedule A - Fee Structure: Detailed breakdown of all fees, charges, and payment terms

2. Schedule B - Scope of Services: Comprehensive list of specific services to be provided

3. Schedule C - Authorized Representatives: List of authorized persons who can give instructions on behalf of the client

4. Schedule D - Reporting Requirements: Format and frequency of reports to be provided to the client

5. Schedule E - Compliance Requirements: Specific regulatory requirements and compliance procedures

6. Appendix 1 - KYC Documentation: Required Know Your Customer documentation and forms

7. Appendix 2 - Risk Disclosure: Detailed risk disclosures and acknowledgments

8. Appendix 3 - Investment Guidelines: Specific investment policies and restrictions if applicable

Authors

Alex Denne

Head of Growth (Open Source Law) @ ºÚÁÏÊÓÆµ | 3 x UCL-Certified in Contract Law & Drafting | 4+ Years Managing 1M+ Legal Documents | Serial Founder & Legal AI Author

Relevant legal definitions








































Clauses








































Relevant Industries

Financial Services

Banking

Investment Management

Corporate Advisory

Wealth Management

Insurance

Islamic Finance

Private Equity

Real Estate Investment

Family Office Services

Professional Services

Asset Management

Relevant Teams

Legal

Compliance

Finance

Risk Management

Wealth Management

Corporate Advisory

Investment Management

Client Relations

Operations

Treasury

Islamic Banking

Portfolio Management

Relevant Roles

Financial Advisor

Investment Consultant

Wealth Manager

Corporate Finance Manager

Chief Financial Officer

Compliance Officer

Legal Counsel

Risk Manager

Portfolio Manager

Investment Strategist

Financial Planning Director

Client Relationship Manager

Treasury Manager

Islamic Finance Advisor

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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