Document background
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.
