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Mutual Fund Agreement

Mutual Fund Agreement Template for Hong Kong

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Key Requirements PROMPT example:

Mutual Fund Agreement

"I need a Mutual Fund Agreement for a new ESG-focused equity fund to be launched in Hong Kong by March 2025, with specific provisions for institutional investors and quarterly distribution options."

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Document background
The Mutual Fund Agreement serves as the foundational document for establishing and operating a mutual fund in Hong Kong's dynamic financial market. This document is essential when setting up a new mutual fund or restructuring an existing one, providing the legal framework that governs the relationships between all parties involved in the fund's operation. It must comply with the Securities and Futures Ordinance (SFO) and the SFC's Code on Unit Trusts and Mutual Funds, incorporating specific requirements for fund authorization, operational procedures, and investor protection measures. The agreement typically includes comprehensive details about investment strategies, risk management, fee structures, and operational procedures, while ensuring alignment with Hong Kong's regulatory requirements and international best practices in fund management.
Suggested Sections

1. Parties: Identification of all parties to the agreement including the fund manager, trustee, custodian, and other key service providers

2. Background: Context of the agreement, nature of the fund, and general purpose of the arrangement

3. Definitions: Comprehensive definitions of terms used throughout the agreement

4. Appointment and Authority: Formal appointment of the fund manager and delegation of investment powers

5. Investment Objectives and Strategy: Clear statement of the fund's investment objectives, policies, and permitted investments

6. Management and Administration: Details of how the fund will be managed and administered, including operational procedures

7. Fees and Expenses: Comprehensive breakdown of all fees, charges, and expenses related to the fund

8. Subscription and Redemption: Procedures and terms for investing in and withdrawing from the fund

9. Valuation and Pricing: Methods and frequency of calculating NAV and unit prices

10. Risk Factors: Detailed disclosure of all material risks associated with the investment

11. Representations and Warranties: Standard and specific representations and warranties from all parties

12. Compliance and Reporting: Regulatory compliance obligations and reporting requirements

13. Termination: Circumstances and procedures for terminating the agreement or winding up the fund

14. Governing Law and Jurisdiction: Specification of Hong Kong law as governing law and jurisdiction for disputes

Optional Sections

1. Performance Fee Structure: Detailed provisions for performance-based fees, if applicable

2. Side Letter Provisions: Special terms for specific investors, if any preferential terms are offered

3. Securities Lending: Terms and conditions for securities lending activities if the fund engages in such practices

4. Derivative Trading: Specific provisions for derivative trading if part of the investment strategy

5. Multiple Share Classes: Provisions for different share classes if the fund offers various types of units

6. Distribution Policy: Details of dividend or distribution policies if the fund makes regular distributions

7. ESG Considerations: Environmental, Social and Governance criteria if the fund has specific ESG objectives

Suggested Schedules

1. Schedule 1: Investment Restrictions: Detailed investment restrictions and limits in accordance with SFC requirements

2. Schedule 2: Fee Schedule: Detailed breakdown of all fees, including management fees, trustee fees, and other charges

3. Schedule 3: Subscription Procedures: Detailed procedures and requirements for fund subscription

4. Schedule 4: Redemption Procedures: Detailed procedures and requirements for fund redemption

5. Schedule 5: Valuation Rules: Detailed rules and methodologies for valuing different types of assets

6. Schedule 6: Service Providers: List of appointed service providers and their key responsibilities

7. Appendix A: Subscription Form: Standard form for fund subscription

8. Appendix B: Redemption Form: Standard form for fund redemption

9. Appendix C: KYC Requirements: Required documentation and procedures for Know Your Client compliance

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

Investment Management

Banking

Asset Management

Wealth Management

Securities and Trading

Fund Administration

Professional Services

Financial Technology

Relevant Teams

Legal

Compliance

Investment Management

Risk Management

Operations

Product Development

Client Services

Distribution

Fund Administration

Portfolio Management

Due Diligence

Corporate Governance

Relevant Roles

Fund Manager

Compliance Officer

Legal Counsel

Investment Director

Risk Manager

Operations Director

Portfolio Manager

Trustee Officer

Chief Investment Officer

Head of Distribution

Chief Compliance Officer

Fund Administrator

Investment Analyst

Due Diligence Officer

Product Development 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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