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Investment Consulting Agreement Template for Australia

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Key Requirements PROMPT example:

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."

Document background
The Investment Consulting Agreement is essential for establishing professional investment advisory relationships in the Australian market. It is typically used when a qualified investment consultant or advisory firm agrees to provide strategic investment advice, portfolio analysis, or other investment-related services to clients such as corporations, institutional investors, or high-net-worth individuals. The agreement must comply with Australian financial services regulations, including licensing requirements under the Corporations Act 2001, ASIC guidelines, and relevant provisions of the Financial Sector Reform Act. It details the scope of services, performance standards, fee structures, and risk management provisions while ensuring appropriate consumer protections and professional standards are maintained. This document is particularly important given the increasing complexity of investment markets and the stringent regulatory environment in Australia's financial services sector.
Suggested Sections

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

Optional Sections

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

Suggested Schedules

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

Alex Denne

Head of Growth (Open Source Law) @ ¶¶Òõ¶ÌÊÓÆµ | 3 x UCL-Certified in Contract Law & Drafting | 4+ Years Managing 1M+ Legal Documents | Serial Founder & Legal AI Author

Relevant legal definitions









































Clauses






































Relevant Industries

Financial Services

Investment Management

Wealth Management

Banking

Superannuation

Professional Services

Asset Management

Corporate Advisory

Private Equity

Insurance

Relevant Teams

Legal

Compliance

Investment

Finance

Risk Management

Treasury

Wealth Management

Corporate Advisory

Portfolio Management

Operations

Relevant Roles

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

Industries








Teams

Employer, Employee, Start Date, Job Title, Department, Location, Probationary Period, Notice Period, Salary, Overtime, Vacation Pay, Statutory Holidays, Benefits, Bonus, Expenses, Working Hours, Rest Breaks,  Leaves of Absence, Confidentiality, Intellectual Property, Non-Solicitation, Non-Competition, Code of Conduct, Termination,  Severance Pay, Governing Law, Entire Agreemen

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