Investment Advisory Services Agreement (Genie AI)
About this template
The Investment Advisory Services Agreement (Genie AI) under USA law is a legal template governing the relationship between an investment advisory firm and its clients. This agreement establishes the terms and conditions under which the advisory firm, operating under the name Genie AI, will provide investment advice and related services to its clients, with compliance obligations under US laws and regulations.
The agreement outlines the roles and responsibilities of both parties, including the investment advisory firm's duty to provide suitable investment advice based on the client's stated objectives, risk tolerance, and financial situation. It may also define the investment strategies and types of securities or financial instruments the advisory firm is authorized to recommend.
Additionally, the agreement may specify the fee structure for the advisory services, including the advisor's compensation, billing arrangements, and any potential performance-based fees. It may incorporate provisions related to termination or amendment of the agreement, addressing potential conflicts of interest, and specify how disputes between the parties will be resolved, potentially through arbitration or mediation.
Given the legal framework under USA law, this template is likely to include provisions related to compliance with federal and state securities laws, such as the Securities Act of 1933 and the Investment Advisers Act of 1940. It may also reference regulations promulgated by regulatory bodies like the Securities and Exchange Commission (SEC) or state securities authorities.
Ultimately, the purpose of this legal template is to establish a clear understanding between the investment advisory firm and its clients, defining the scope of services, obligations, and legal rights of both parties in the provision of investment advisory services while ensuring compliance with applicable US laws and regulations.