The Personal Investment Contract serves as the foundational document for establishing a professional investment management relationship in Australia. It is primarily used when an individual or entity engages a licensed investment manager or firm to manage their investment portfolio or provide investment advisory services. The document encompasses crucial elements required by Australian financial services law, including detailed investment mandates, fee structures, risk disclosures, and compliance obligations. It is designed to comply with the Corporations Act 2001, ASIC regulations, and other relevant Australian legislation governing financial services and investments. The contract typically includes comprehensive provisions for investment strategy implementation, performance reporting, risk management, and client communication protocols, while ensuring adequate investor protection and regulatory compliance. This document is essential for any professional investment management relationship and must be tailored to reflect the specific investment services offered and the client's investment objectives.
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1. Parties: Identification of the investment manager/firm and the investor, including full legal names, addresses, and ACN/ABN where applicable
2. Background: Context of the agreement, including the investment manager's qualifications and authorizations, and the investor's intention to invest
3. Definitions: Detailed definitions of terms used throughout the agreement, including financial and technical terms
4. Investment Services: Detailed description of the investment services to be provided, including scope and limitations
5. Investment Strategy and Objectives: Outline of the agreed investment strategy, risk profile, and investment objectives
6. Fees and Charges: Comprehensive breakdown of all fees, charges, and commissions, including calculation methods and payment terms
7. Rights and Obligations: Detailed responsibilities and obligations of both parties, including reporting requirements and communication protocols
8. Risk Disclosure: Comprehensive disclosure of investment risks and acknowledgment by the investor
9. Term and Termination: Duration of the agreement and circumstances under which it can be terminated
10. Confidentiality: Obligations regarding confidential information and privacy requirements
11. Compliance with Laws: Commitment to comply with relevant laws and regulations, including AML/CTF requirements
12. Dispute Resolution: Process for handling disputes, including mediation and arbitration procedures
13. General Provisions: Standard contract clauses including governing law, amendments, and notices
1. Portfolio Management: Specific terms for discretionary portfolio management services, used when the agreement includes active portfolio management
2. Advisory Services: Terms for investment advisory services, included when providing advisory rather than discretionary services
3. Performance Fees: Structure and calculation of performance-based fees, included when performance fees are part of the fee arrangement
4. Foreign Investment Provisions: Additional terms for international investments, included when the investment strategy includes offshore investments
5. Margin Lending: Terms related to margin lending facilities, included when leverage is part of the investment strategy
6. Nominee Services: Terms for custody and nominee services, included when assets are held by a nominee
7. Electronic Services: Terms for online access and electronic trading facilities, included when providing digital investment platforms
1. Schedule 1 - Investment Mandate: Detailed investment parameters, restrictions, and guidelines
2. Schedule 2 - Fee Schedule: Detailed breakdown of all fees, charges, and calculation methodologies
3. Schedule 3 - Authorized Persons: List of persons authorized to give instructions on behalf of the investor
4. Schedule 4 - Risk Disclosure Statement: Detailed description of all relevant investment risks
5. Appendix A - Investment Strategy: Detailed description of the agreed investment strategy and approach
6. Appendix B - Reporting Requirements: Format and frequency of investment reports and communications
7. Appendix C - Privacy Policy: Detailed privacy and data protection policies
8. Appendix D - Execution Policy: Details of order execution policy and procedures
Relevant legal definitions
Clauses
Relevant Industries
Financial Services
Wealth Management
Investment Banking
Private Banking
Asset Management
Professional Services
Financial Technology
Family Office Services
Retirement Planning
Corporate Advisory
Relevant Teams
Legal
Compliance
Investment Management
Wealth Management
Risk Management
Client Services
Operations
Product Development
Business Development
Portfolio Administration
Relevant Roles
Investment Manager
Financial Adviser
Compliance Officer
Legal Counsel
Portfolio Manager
Wealth Manager
Risk Manager
Client Relationship Manager
Operations Manager
Investment Director
Chief Investment Officer
Financial Services Manager
Trust Officer
Product Manager
Business Development Manager
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