The Investment Advisor Contract is essential for establishing professional investment advisory relationships in the Netherlands, subject to Dutch financial regulations and EU directives. This document is typically used when an investment advisor or firm begins providing regulated investment advisory services to clients, whether retail or professional. It must comply with the Dutch Financial Supervision Act (Wft), MiFID II requirements, and GDPR provisions. The contract covers crucial aspects such as service scope, regulatory compliance, fee structures, risk disclosures, and reporting obligations. It's particularly important as investment advice is a regulated activity in the Netherlands, requiring specific licenses and ongoing compliance with AFM (Dutch Authority for Financial Markets) requirements.
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1. Parties: Identification of the investment advisor and the client, including registration/license numbers and contact details
2. Background: Context of the agreement and confirmation that the advisor is properly licensed under Wft
3. Definitions: Key terms used throughout the agreement, including regulatory terminology
4. Scope of Services: Detailed description of investment advisory services to be provided, including any limitations
5. Client Classification: Classification of the client (retail/professional) as per MiFID II requirements
6. Advisor's Obligations: Key responsibilities including suitability assessments, reporting, and duty of care
7. Client's Obligations: Client's responsibilities including providing accurate information and updating relevant changes
8. Fees and Compensation: Fee structure, payment terms, and any additional costs
9. Conflicts of Interest: Disclosure and management of potential conflicts
10. Reporting and Communications: Frequency and format of reports, communication methods
11. Data Protection and Confidentiality: GDPR compliance and confidentiality obligations
12. Duration and Termination: Term of agreement and termination provisions
13. Liability and Indemnification: Limitation of liability and indemnification provisions
14. Governing Law and Jurisdiction: Confirmation of Dutch law application and jurisdiction
1. Portfolio Management: Include when the advisor may have discretionary management authority
2. Third-Party Services: Include when external service providers or sub-advisors may be involved
3. International Services: Include for cross-border advisory services
4. Online Services Access: Include when providing digital platform access
5. Professional Liability Insurance: Include details of insurance coverage if specifically requested
6. Performance Reporting Standards: Include when specific reporting standards are agreed upon
7. Sustainable Investment Preferences: Include when ESG factors are part of the investment strategy
1. Fee Schedule: Detailed breakdown of all fees, charges, and commission structures
2. Investment Profile Questionnaire: Client risk profile and investment objectives assessment
3. Service Level Agreement: Detailed service standards and response times
4. Risk Disclosure Statement: Comprehensive risk warnings and disclosures
5. Privacy Notice: Detailed GDPR-compliant privacy policy
6. Execution Policy: Policy for handling investment recommendations
7. Conflicts of Interest Policy: Detailed policy for managing conflicts of interest
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