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Discretionary Management Agreement

Discretionary Management Agreement Template for Switzerland

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Key Requirements PROMPT example:

Discretionary Management Agreement

"I need a Discretionary Management Agreement for a Swiss private bank providing services to high-net-worth retail clients, with specific provisions for sustainable investment strategies and crypto assets, to be implemented by March 2025."

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Document background
The Discretionary Management Agreement is a crucial document used in the Swiss financial services industry when a client delegates investment decision-making authority to a professional asset manager. This agreement is specifically designed to comply with Swiss financial regulations, particularly FinSA/FIDLEG and FinIA/FINIG, which impose strict requirements on financial service providers. It is used when clients wish to entrust their investment portfolio to professional management, allowing the asset manager to make investment decisions without seeking prior approval for each transaction. The agreement must include mandatory regulatory elements such as client classification, risk disclosure, investment strategy parameters, and reporting obligations. It serves as both a regulatory compliance document and a practical framework for the ongoing management relationship.
Suggested Sections

1. Parties: Identification of the asset manager and the client, including regulatory status and contact details

2. Background: Context of the agreement and confirmation of client classification under FinSA

3. Definitions: Key terms used throughout the agreement

4. Appointment and Scope of Authority: Formal appointment of the asset manager and extent of discretionary powers

5. Investment Objectives and Strategy: Agreed investment strategy, objectives, and any specific restrictions

6. Client Risk Profile: Client's risk tolerance and investment experience assessment

7. Duties and Responsibilities: Detailed obligations of both the asset manager and the client

8. Fees and Charges: Management fees, transaction costs, and other applicable charges

9. Reporting and Communication: Frequency and content of portfolio reports, valuation methods, and communication protocols

10. Conflicts of Interest: Disclosure and management of potential conflicts

11. Risk Disclosures: Mandatory risk warnings and acknowledgments

12. Liability and Indemnification: Extent and limitations of asset manager's liability

13. Term and Termination: Duration, termination rights, and consequences of termination

14. Data Protection and Confidentiality: Treatment of client data and confidential information

15. Final Provisions: Governing law, jurisdiction, and amendment procedures

Optional Sections

1. Foreign Securities Provisions: Required when portfolio includes non-Swiss securities, addressing specific risks and requirements

2. Custody Arrangements: Required when the asset manager has any role in custody arrangements

3. Additional Services: Used when additional services beyond discretionary management are provided

4. Tax Considerations: Required for clients requiring specific tax treatment or reporting

5. Group Company Services: Required when services from the asset manager's group companies are utilized

6. Electronic Services: Required when online portfolio access or electronic trading services are provided

7. Sustainable Investment Provisions: Used when ESG or sustainable investment criteria are part of the mandate

Suggested Schedules

1. Investment Guidelines: Detailed investment parameters, restrictions, and permitted instruments

2. Fee Schedule: Detailed breakdown of all fees, charges, and calculation methods

3. Risk Profile Questionnaire: Completed client risk assessment documentation

4. Power of Attorney: Formal authorization for discretionary management

5. List of Authorized Persons: Individuals authorized to give instructions on behalf of client

6. Regulatory Disclosures: Required FinSA/FIDLEG disclosures and risk warnings

7. Client Classification Documentation: Evidence of client classification and any opt-in/opt-out declarations

8. Execution Policy: Details of the asset manager's execution and allocation policies

Authors

Alex Denne

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

alex.den.21@genieai.co
Relevant legal definitions












































Clauses




































Relevant Industries

Financial Services

Asset Management

Banking

Wealth Management

Private Banking

Investment Management

Family Offices

Insurance

Pension Funds

Corporate Treasury

Fund Management

Private Equity

Relevant Teams

Legal

Compliance

Asset Management

Investment Management

Client Relations

Risk Management

Operations

Portfolio Administration

Investment Advisory

Client Services

Treasury

Investment Control

Wealth Management

Relevant Roles

Portfolio Manager

Chief Investment Officer

Compliance Officer

Legal Counsel

Relationship Manager

Investment Advisor

Risk Manager

Client Director

Head of Asset Management

Investment Controller

Wealth Manager

Treasury Manager

Investment Operations Manager

Senior Financial Advisor

Client Services Manager

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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