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Investment Consulting Agreement
"I need an Investment Consulting Agreement for my boutique advisory firm to provide services to a large superannuation fund, including ESG investment strategy consulting and quarterly portfolio reviews, with services to commence in March 2025."
1. Parties: Identification of the Investment Consultant and the Client, including ABN/ACN and registered addresses
2. Background: Context of the agreement, including consultant's qualifications and licenses, and client's objectives
3. Definitions: Key terms used throughout the agreement, including 'Investment Advice', 'Services', 'Confidential Information'
4. Appointment and Scope of Services: Detailed description of investment consulting services to be provided and any limitations
5. Term: Duration of the agreement, including commencement date and renewal provisions
6. Consultant's Obligations: Key responsibilities, professional standards, and compliance with regulations
7. Client's Obligations: Client responsibilities, including providing accurate information and timely instructions
8. Fees and Payment: Fee structure, payment terms, expenses, and invoicing procedures
9. Compliance and Regulatory Requirements: Obligations under relevant financial services laws and regulations
10. Representations and Warranties: Statements of fact and promises by both parties
11. Confidentiality: Protection and handling of confidential information and client data
12. Intellectual Property: Ownership and use of reports, analyses, and other materials
13. Liability and Indemnity: Limitation of liability, professional indemnity insurance, and indemnification provisions
14. Termination: Grounds for termination, notice periods, and consequences of termination
15. General Provisions: Standard clauses including notices, governing law, dispute resolution, and entire agreement
1. Performance Standards: Specific KPIs or service levels, recommended when client requires measurable performance metrics
2. Delegation: Terms for subcontracting or delegating services, needed if consultant may use third-party providers
3. Insurance: Detailed insurance requirements beyond professional indemnity, recommended for high-value services
4. Non-Competition: Restrictions on providing services to competitors, relevant for exclusive arrangements
5. Force Majeure: Provisions for unforeseen circumstances, recommended for long-term agreements
6. Data Protection: Detailed data handling procedures, necessary when dealing with personal or sensitive information
7. Anti-Money Laundering Compliance: Specific AML/CTF obligations, required when dealing with certain financial transactions
1. Schedule 1 - Services Description: Detailed breakdown of investment consulting services and deliverables
2. Schedule 2 - Fee Schedule: Comprehensive fee structure, including base fees, performance fees, and expenses
3. Schedule 3 - Service Levels: Specific performance metrics and service standards
4. Schedule 4 - Compliance Requirements: Detailed regulatory compliance obligations and procedures
5. Appendix A - Required Disclosures: Mandatory disclosures under financial services regulations
6. Appendix B - Investment Strategy Guidelines: Parameters and constraints for investment recommendations
7. Appendix C - Reporting Templates: Standard formats for regular reporting and communications
Authors
Financial Services
Investment Management
Wealth Management
Banking
Superannuation
Professional Services
Asset Management
Corporate Advisory
Private Equity
Insurance
Legal
Compliance
Investment
Finance
Risk Management
Treasury
Wealth Management
Corporate Advisory
Portfolio Management
Operations
Investment Consultant
Chief Investment Officer
Financial Advisor
Portfolio Manager
Investment Director
Compliance Officer
Legal Counsel
Risk Manager
Chief Financial Officer
Investment Strategist
Wealth Manager
Treasury Manager
Fund Manager
Investment Analyst
General Counsel
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