The Investment Advisory Agreement is essential for investment advisers operating in India who provide professional investment advice to clients. This document is mandated by SEBI regulations and must comply with the SEBI (Investment Advisers) Regulations, 2013, along with other applicable Indian financial laws. It is used when establishing a formal advisory relationship with clients, whether individuals, corporations, or institutions. The agreement typically includes comprehensive details about services offered, fee structures, risk disclosures, and compliance requirements. It serves as a critical tool for protecting both adviser and client interests while ensuring regulatory compliance in the Indian market. The document should be customized based on the specific scope of services, client type, and investment strategies while maintaining alignment with SEBI guidelines and Indian contract law.
Thank you! Your submission has been received!
Oops! Something went wrong while submitting the form.
Your data doesn't train Genie's AI
You keep IP ownership of your docs
1. Parties: Identification of the investment adviser and the client, including registration details and contact information
2. Background: Context of the agreement, including adviser's SEBI registration status and client's investment advisory needs
3. Definitions: Key terms used throughout the agreement, including technical and regulatory terminology
4. Scope of Services: Detailed description of investment advisory services to be provided, including any limitations
5. Adviser's Obligations: Duties and responsibilities of the investment adviser, including fiduciary obligations and SEBI compliance requirements
6. Client's Obligations: Responsibilities of the client, including information provision and disclosure requirements
7. Fees and Payment Terms: Advisory fees structure, payment schedule, and related terms
8. Representations and Warranties: Statements of fact and assurances from both parties
9. Confidentiality: Provisions for handling confidential information and maintaining privacy
10. Conflict of Interest: Disclosure and management of potential conflicts of interest
11. Term and Termination: Duration of agreement and conditions for termination
12. Risk Disclosure: Mandatory risk warnings and disclaimers as per SEBI requirements
13. Indemnification: Terms for mutual indemnification and limitation of liability
14. Governing Law and Jurisdiction: Applicable law and jurisdiction for dispute resolution
15. Miscellaneous: Standard boilerplate provisions including notices, amendments, and severability
1. Direct Stock Recommendations: Include when the service includes specific stock recommendations
2. Portfolio Management Services: Include when offering portfolio review and rebalancing services
3. Digital Services: Include when providing online platforms or digital tools for investment advisory
4. Research Reports: Include when providing research reports and analysis
5. International Investments: Include when advising on international investment opportunities
6. Training and Education: Include when offering investment education services
7. Third-Party Services: Include when incorporating services from third-party providers
8. Force Majeure: Include when specific provisions for unforeseen circumstances are needed
1. Schedule A - Fee Structure: Detailed breakdown of all fees, charges, and payment terms
2. Schedule B - Investment Strategy: Detailed investment approach and methodology
3. Schedule C - Risk Profile Assessment: Client risk assessment questionnaire and results
4. Schedule D - Services Description: Comprehensive list and description of all services offered
5. Schedule E - Compliance Documentation: SEBI-required disclosures and compliance documents
6. Appendix 1 - KYC Documents: List of required KYC documents and procedures
7. Appendix 2 - Communication Protocol: Methods and frequency of communication between parties
8. Appendix 3 - Regulatory Disclosures: Mandatory regulatory disclosures and disclaimers
Find the exact document you need
Financial Advisor Agreement
An Indian law-governed agreement establishing the terms and conditions between a financial advisor and client, compliant with SEBI regulations.
Download
Agreement Between Consultant And Company
An Indian law-governed agreement establishing terms and conditions between a consultant and company for professional services provision.
Download
Investment Advisory Agreement
An India-governed agreement between an investment adviser and client, compliant with SEBI regulations, for providing professional investment advisory services.
Download
Startup Advisor Agreement
An Indian law-governed agreement defining the terms of engagement between a startup and its advisor, including roles, compensation, and protective provisions.
Download
Advisory Board Agreement
An Indian law-governed agreement establishing the terms and conditions for advisory board membership, including duties, compensation, and confidentiality obligations.
Download
Customer Advisory Board Agreement
An Indian law-governed agreement establishing terms and conditions for Customer Advisory Board members, including responsibilities, confidentiality, and compensation.
Download
Advisory Board Member Agreement
An Indian law-governed agreement establishing the terms and conditions for advisory board member appointments, including duties, compensation, and obligations.
Download
Advisory Services Agreement
An Indian law-governed agreement establishing terms for professional advisory services, including scope, fees, and mutual obligations.
Download
Advisor Contract
An Indian law-governed agreement establishing terms and conditions for professional advisory services between a client and advisor.
Download
ұԾ’s Security Promise
Genie is the safest place to draft. Here’s how we prioritise your privacy and security.
Your documents are private:
We do not train on your data; ұԾ’s AI improves independently
All data stored on Genie is private to your organisation
Your documents are protected:
Your documents are protected by ultra-secure 256-bit encryption
We are ISO27001 certified, so your data is secure
Organizational security:
You retain IP ownership of your documents and their information
You have full control over your data and who gets to see it
.png)