The Investment Advisory Agreement is essential for financial institutions and advisors providing investment advisory services in Switzerland. It serves as the primary contractual framework defining the advisory relationship between the financial service provider and their clients, whether private, professional, or institutional. The agreement must comply with the Swiss Financial Services Act (FinSA/FIDLEG), the Financial Institutions Act (FinIA/FINIG), and other relevant Swiss regulations. It typically includes detailed provisions on service scope, client classification, risk disclosures, fee structures, reporting obligations, and regulatory requirements. This document is crucial for ensuring regulatory compliance while protecting both the advisor's and client's interests in the Swiss financial services context.
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1. Parties: Identification of the investment advisor and the client, including regulatory status and contact details
2. Background: Context of the agreement and brief description of the services to be provided
3. Definitions: Key terms used throughout the agreement
4. Scope of Services: Detailed description of investment advisory services, including limitations and exclusions
5. Client Classification: Classification of the client according to FinSA categories (private, professional, or institutional)
6. Duties and Responsibilities: Obligations of both advisor and client, including information provision and communication requirements
7. Risk Disclosure: General investment risks and specific risks related to recommended investment strategies
8. Fees and Charges: Advisory fees, calculation method, payment terms, and third-party compensation disclosure
9. Conflicts of Interest: Disclosure and management of potential conflicts of interest
10. Client Information and Reporting: Requirements for client information updates and periodic reporting obligations
11. Confidentiality and Data Protection: Protection and handling of client data under Swiss law
12. Liability and Indemnification: Extent and limitations of advisor's liability and client indemnification provisions
13. Term and Termination: Duration of agreement and termination provisions
14. Final Provisions: Governing law, jurisdiction, and amendment procedures
1. Discretionary Services: Additional provisions if discretionary portfolio management is offered alongside advisory services
2. Electronic Services: Terms for digital platform access and online services if provided
3. Multiple Service Levels: Different service tiers and corresponding obligations if multiple service levels are offered
4. Group Companies: Additional provisions for corporate clients with multiple entities or group structures
5. International Services: Cross-border provisions for clients with international requirements
6. Investment Restrictions: Client-specific investment restrictions or preferences
7. Power of Attorney: If the client grants specific powers of attorney to the advisor or third parties
1. Fee Schedule: Detailed breakdown of all fees, charges, and commission structures
2. Investment Strategy Profile: Detailed description of agreed investment strategy and risk profile
3. Risk Disclosure Document: Comprehensive risk disclosures as required by FinSA
4. Service Level Description: Detailed description of service levels and included services
5. Execution Policy: Best execution policy and handling of client orders
6. Privacy Notice: Detailed data protection and privacy provisions
7. List of Authorized Persons: Names and specimen signatures of persons authorized to act on behalf of the client
8. Regulatory Disclosures: Additional regulatory disclosures required under Swiss law
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