The Financial Investment Agreement serves as the foundational document for establishing and managing investment relationships in Canada. It is typically used when professional investment managers or advisors take on the responsibility of managing client assets, whether for individual investors, institutions, or corporate entities. The agreement must comply with Canadian federal and provincial securities regulations, including requirements set by securities regulators and self-regulatory organizations like IIROC. This document outlines investment objectives, strategies, risk parameters, fee structures, reporting requirements, and fiduciary obligations while incorporating necessary provisions for regulatory compliance, privacy protection, and anti-money laundering requirements. It is essential for documenting the investment relationship and ensuring all parties understand their rights, obligations, and the scope of the investment mandate within the Canadian regulatory framework.
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1. Parties: Identification and details of all parties to the agreement, including their legal status and contact information
2. Background: Context of the investment relationship and purpose of the agreement
3. Definitions: Detailed definitions of terms used throughout the agreement
4. Investment Terms: Core terms of the investment including amount, type of investment, and investment strategy
5. Representations and Warranties: Statements of fact and assurances from both parties regarding their capacity, authority, and compliance with laws
6. Investment Management: Details of how the investment will be managed, including decision-making processes and authority
7. Fees and Expenses: Comprehensive breakdown of all fees, expenses, and payment terms
8. Risk Disclosure: Detailed disclosure of investment risks and acknowledgment by the investor
9. Reporting and Communication: Requirements for financial reporting, performance updates, and communication between parties
10. Term and Termination: Duration of the agreement and circumstances under which it can be terminated
11. Confidentiality: Provisions regarding the protection and handling of confidential information
12. Regulatory Compliance: Obligations regarding compliance with applicable laws and regulations
13. Governing Law and Jurisdiction: Specification of applicable law and jurisdiction for dispute resolution
14. General Provisions: Standard legal provisions including notices, amendments, and assignment
1. Investment Committee: Establish when an investment committee is required and its governance structure - used for larger institutional investments
2. Performance Fees: Additional fee structures based on investment performance - used when performance-based compensation is part of the arrangement
3. Co-Investment Rights: Terms for co-investment opportunities - included when co-investment possibilities exist
4. Key Person Provisions: Provisions related to key investment personnel - important for investments dependent on specific expertise
5. ESG Compliance: Environmental, Social, and Governance requirements - included when ESG considerations are material to the investment
6. Digital Asset Provisions: Specific provisions for digital or cryptocurrency investments - used when digital assets are part of the investment strategy
7. Foreign Investment Provisions: Additional terms for cross-border investments - included when foreign investment is involved
8. Leverage Restrictions: Terms governing the use of leverage - included when borrowing is permitted or restricted
9. Withdrawal Rights: Special provisions for withdrawal of investments - used in open-ended investment structures
1. Investment Policy Statement: Detailed outline of investment objectives, strategy, and constraints
2. Fee Schedule: Detailed breakdown of all fees, calculations, and payment terms
3. Subscription Documents: Forms and documentation required for the initial investment
4. KYC and AML Requirements: Required documentation and procedures for Know Your Client and Anti-Money Laundering compliance
5. Risk Disclosure Statement: Comprehensive disclosure of all investment risks
6. Performance Reporting Template: Standard format for regular performance reports
7. Authorized Signatories: List of persons authorized to act on behalf of each party
8. Investment Guidelines: Specific parameters and restrictions for investment activities
9. Tax Forms and Requirements: Required tax documentation and reporting forms
10. Custody Agreement: Terms of custodial services if applicable
Relevant legal definitions
Clauses
Relevant Industries
Financial Services
Investment Management
Banking
Wealth Management
Private Equity
Venture Capital
Asset Management
Insurance
Pension Fund Management
Alternative Investments
Real Estate Investment
Infrastructure Investment
Relevant Teams
Legal
Compliance
Investment Management
Risk Management
Operations
Client Services
Finance
Due Diligence
Portfolio Management
Wealth Management
Fund Administration
Investment Analysis
Relevant Roles
Investment Manager
Portfolio Manager
Chief Investment Officer
Chief Financial Officer
Compliance Officer
Legal Counsel
Risk Manager
Investment Advisor
Fund Manager
Wealth Manager
Financial Analyst
Investment Associate
Operations Manager
Client Relationship Manager
Due Diligence Officer
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