The Investment Management Contract is essential when establishing a professional relationship between an investment manager and a client for the management of investment portfolios. Used extensively in the UK financial services sector, this agreement ensures compliance with Financial Conduct Authority (FCA) regulations and relevant financial services legislation. The contract typically covers investment strategy, risk management, fee structures, reporting obligations, and termination provisions. It's particularly important in England and Wales where financial services are heavily regulated and require clear documentation of responsibilities and obligations between parties.
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1. Parties: Identification of the investment manager and client(s), including registered addresses and company details
2. Background: Context of the agreement and brief description of the services to be provided
3. Definitions: Key terms used throughout the agreement including regulated terms under FSMA, MiFID II, and other relevant legislation
4. Appointment and Authority: Formal appointment of the investment manager and scope of authority under FSMA and relevant regulations
5. Investment Objectives and Restrictions: Agreed investment strategy, objectives, and any specific restrictions in compliance with FCA requirements
6. Services: Detailed description of investment management services to be provided under applicable regulations
7. Fees and Expenses: Management fees, performance fees, and other charges in accordance with FCA rules on fee disclosure
8. Reporting and Valuations: Frequency and content of reports, valuation methodology as required by COBS and MiFID II
9. Risk Disclosures: Mandatory risk warnings and disclosures required by FCA regulations
10. Termination: Termination rights and procedures in compliance with regulatory requirements
1. Custody Arrangements: Details of custody services if provided, including CASS compliance requirements
2. Foreign Account Provisions: Specific provisions for international clients including cross-border regulations
3. Delegation: Terms for delegation of services to third parties under FCA rules
4. ESG Considerations: Environmental, social and governance investment criteria and related disclosures
1. Investment Guidelines: Detailed investment parameters and restrictions in accordance with regulatory requirements
2. Fee Schedule: Detailed breakdown of all fees and charges as required by FCA rules
3. Authorized Persons: List of individuals authorized to give instructions under SMCR requirements
4. Risk Disclosure Statement: Detailed risk warnings specific to the investment strategy as required by COBS
5. Service Level Agreement: Specific performance metrics and service standards in line with regulatory requirements
6. Reporting Templates: Format and content of regular reports as required by MiFID II and FCA rules
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