The Investment Advisory Agreement is essential for financial professionals providing investment advice in the UK. It serves as the cornerstone document defining the advisory relationship, ensuring compliance with Financial Services and Markets Act 2000 and FCA regulations. Used when establishing new advisory relationships or updating existing arrangements, it covers crucial elements including service scope, fees, risk warnings, and regulatory obligations. The agreement is particularly important in England and Wales where financial services are heavily regulated and require specific contractual protections and disclosures.
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1. Parties: Identification of the investment advisor and client
2. Background: Context of the agreement and regulatory status of advisor
3. Definitions: Key terms used throughout the agreement
4. Scope of Services: Detailed description of investment advisory services to be provided
5. Fees and Payment: Fee structure, calculation method, and payment terms
6. Client Obligations: Client responsibilities and information provision requirements
7. Regulatory Disclosures: Required risk warnings and regulatory statements
8. Confidentiality: Protection of confidential information
9. Term and Termination: Duration and termination provisions
1. Investment Restrictions: Specific investment limitations requested by client - used when client has specific investment preferences or restrictions
2. Performance Reporting: Reporting frequency and content - used when bespoke reporting arrangements are required
3. Foreign Account Provisions: Additional provisions for non-UK clients - used when dealing with international clients
1. Fee Schedule: Detailed breakdown of fees and charges
2. Investment Strategy: Detailed investment approach and objectives
3. Risk Disclosures: Comprehensive risk warnings
4. Client Classification: Documentation of client's regulatory classification
5. Authorized Persons: List of individuals authorized to give instructions
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