The Investment Agency Agreement is a crucial document used in the Australian financial services sector when establishing a formal relationship between an investment agent and a principal who wishes to delegate investment authority. This agreement is particularly relevant in situations where professional investment management services are required, whether for individual high-net-worth clients, institutional investors, or corporate entities. The document must comply with Australian regulatory requirements, including the Corporations Act 2001 and ASIC guidelines, particularly regarding financial services licensing, consumer protection, and disclosure obligations. It typically includes comprehensive details about investment strategies, risk management, reporting requirements, fee structures, and the scope of the agent's authority. The agreement is essential for ensuring clear accountability and protecting both parties' interests while maintaining regulatory compliance in the Australian investment landscape.
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1. Parties: Identification of the Principal and the Investment Agent
2. Background: Context of the agreement and general purpose
3. Definitions and Interpretation: Key terms and interpretation principles
4. Appointment and Authority: Scope of agent's appointment and investment authority
5. Regulatory Compliance: Compliance with relevant laws and regulations
6. Agent's Duties and Obligations: Core responsibilities and fiduciary duties
7. Investment Guidelines: Parameters and restrictions for investments
8. Fees and Expenses: Fee structure, payment terms, and reimbursable expenses
9. Reporting Requirements: Regular reporting obligations and communication protocols
10. Risk Disclosures: Investment risks and limitations of agency
11. Representations and Warranties: Standard declarations by both parties
12. Confidentiality: Protection of confidential information
13. Liability and Indemnification: Limitation of liability and indemnification provisions
14. Term and Termination: Duration and termination provisions
15. Dispute Resolution: Process for resolving disputes
16. General Provisions: Standard boilerplate clauses
1. Retail Client Provisions: Additional protections required for retail investors under the Corporations Act
2. International Investment Provisions: Specific clauses for managing international investments
3. Sub-Agent Appointment: Terms for appointing and managing sub-agents
4. Performance Fees: Structure for performance-based compensation
5. Custody Arrangements: Terms for holding and safeguarding client assets
6. Electronic Trading: Provisions for electronic trading platforms and systems
7. ESG Investment Criteria: Environmental, Social and Governance investment requirements
1. Schedule 1 - Investment Guidelines: Detailed investment parameters, restrictions, and asset allocation
2. Schedule 2 - Fee Schedule: Detailed breakdown of all fees, charges, and calculation methods
3. Schedule 3 - Authorized Persons: List of authorized representatives and their authority levels
4. Schedule 4 - Reporting Requirements: Specific reporting formats, frequencies, and content requirements
5. Schedule 5 - Risk Disclosure Statement: Detailed disclosure of investment risks
6. Appendix A - Account Opening Forms: Required forms and documentation for account setup
7. Appendix B - Compliance Procedures: Detailed compliance requirements and procedures
Relevant legal definitions
Clauses
Relevant Industries
Financial Services
Investment Management
Banking
Wealth Management
Asset Management
Private Equity
Hedge Funds
Superannuation
Corporate Advisory
Fund Management
Relevant Teams
Legal
Compliance
Investment Management
Risk Management
Operations
Client Services
Due Diligence
Portfolio Management
Wealth Management
Corporate Advisory
Relevant Roles
Investment Manager
Portfolio Manager
Chief Investment Officer
Compliance Officer
Legal Counsel
Risk Manager
Financial Advisor
Wealth Manager
Investment Director
Fund Manager
Client Relationship Manager
Operations Manager
Due Diligence Officer
Investment Analyst
Corporate Lawyer
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