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Financial Advisory Services Agreement

Financial Advisory Services Agreement Template for Pakistan

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Key Requirements PROMPT example:

Financial Advisory Services Agreement

"I need a Financial Advisory Services Agreement for our Pakistan-based investment firm to provide strategic financial planning and M&A advisory services to a large manufacturing company, with specific provisions for success fees and a service commencement date of March 1, 2025."

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Document background
The Financial Advisory Services Agreement is a crucial document used in Pakistan when establishing a professional relationship between a financial advisor and their client. This agreement is essential for compliance with Pakistani regulatory requirements, particularly those set by the Securities and Exchange Commission of Pakistan (SECP) and related financial services legislation. The document typically comes into play when companies or individuals seek professional financial guidance, merger and acquisition advice, investment recommendations, or strategic financial planning. It comprehensively covers service scope, fee structures, confidentiality obligations, regulatory compliance, and risk management provisions. The agreement is particularly important in the Pakistani context as it must align with local financial services regulations while incorporating international best practices in financial advisory services.
Suggested Sections

1. Parties: Identification of the financial advisor and the client, including their legal status and registered addresses

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

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

4. Scope of Services: Detailed description of the financial advisory services to be provided

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

6. Fees and Payment Terms: Structure of fees, payment schedule, and billing procedures

7. Obligations of the Advisor: Duties, responsibilities, and standard of care required from the financial advisor

8. Client's Obligations: Client's responsibilities, including providing accurate information and cooperation

9. Confidentiality: Provisions for protecting confidential information of both parties

10. Compliance with Laws: Commitment to comply with Pakistani laws and regulations, including SECP requirements

11. Representations and Warranties: Standard declarations by both parties regarding their capacity and authority

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

13. Dispute Resolution: Procedures for resolving disputes, including jurisdiction and governing law

14. General Provisions: Standard boilerplate clauses including notices, amendments, and assignment

Optional Sections

1. Non-Compete: Restrictions on advisor's ability to service competing clients, used when sensitive industry information is involved

2. Insurance: Requirements for professional indemnity insurance, used for high-value advisory services

3. Force Majeure: Provisions for unforeseeable circumstances, particularly relevant in volatile markets

4. Anti-Corruption: Specific anti-corruption provisions, essential when dealing with public sector clients

5. Intellectual Property: Protection of IP rights, important when proprietary analysis tools or methodologies are used

6. Data Protection: Specific data handling requirements, crucial when dealing with personal financial information

7. Successors and Assigns: Provisions for continuation of services in case of corporate restructuring

8. Marketing Rights: Permission to use client's name in marketing materials, optional for prestigious clients

Suggested Schedules

1. Schedule A - Scope of Services: Detailed breakdown of specific financial advisory services to be provided

2. Schedule B - Fee Structure: Detailed fee calculations, rates, and payment milestones

3. Schedule C - Key Personnel: List of key team members and their qualifications

4. Schedule D - Reporting Requirements: Format and frequency of financial reports and updates

5. Schedule E - Compliance Procedures: Detailed compliance protocols and regulatory requirements

6. Appendix 1 - Service Level Agreement: Specific performance metrics and service standards

7. Appendix 2 - Required Disclosures: Mandatory disclosures as per SECP regulations

8. Appendix 3 - Client Investment Profile: Client's risk profile and investment objectives

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

Banking

Investment Management

Corporate Finance

Wealth Management

Private Equity

Real Estate

Infrastructure

Energy

Healthcare

Technology

Telecommunications

Manufacturing

Professional Services

Public Sector

Relevant Teams

Legal

Finance

Compliance

Risk Management

Treasury

Corporate Development

Investment

Strategy

Business Development

Executive Management

Company Secretariat

Regulatory Affairs

Relevant Roles

Chief Financial Officer

Finance Director

Financial Advisor

Investment Banker

Corporate Finance Manager

Wealth Manager

Legal Counsel

Compliance Officer

Risk Manager

Treasury Manager

Investment Manager

Portfolio Manager

Managing Director

Business Development Manager

Strategy Consultant

General Counsel

Company Secretary

Chief Executive Officer

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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