Drafting or reviewing

The agreements for the provision of investment services and related questionnaires, constitute  fundamental building blocks for the dutiful operation of an Investment Firm, its sound and professional relations with its clients, and its protection from regulatory sanctions and frivolous or vexatious litigation.

The legal framework creates strict obligations that must be reflected in the legal agreements and questionnaires, emanating mainly from two areas of law:

(a)    MiFID related obligations in relation to the provision of investment services and the protection of investors, and

(b)    AML and FT related obligations.

The above areas of law generate a number of obligations for the Investment Firms, such as the performance of client due diligence and client categorization, the Compliance Assessment of the Client’s suitability and appropriateness in relation to investment services and financial products, the provision of fair and accurate information, and, if applicable, the making of warnings to the Client, and the provision of clear and well understood information regarding the charges and fees for the services rendered.

In association with trusted partners, we are in position to prepare the above agreements and questionnaires for your firm. A completed questionnaire is only as effective a tool for the Compliance Assessment of a Client, as the knowledge and alertness of the investment firm officer explaining it to the potential Client or, reviewing it after completion. We, therefore, place particular emphasis in guiding and training your personnel towards the correct utilization of the prepared agreements and questionnaires, for the mutual benefit of the Investment Firm and its clients.

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