The Asset Management Proposal is a foundational document used when an investment management firm seeks to establish a professional relationship with potential clients in India. It serves as both a business proposal and a regulatory compliance document, adhering to the requirements set forth by the Securities and Exchange Board of India (SEBI) and other relevant Indian financial regulations. This document is typically employed when asset management companies approach potential clients, whether institutional investors, high-net-worth individuals, or corporate entities, to provide professional investment management services. The proposal includes comprehensive details about investment strategies, risk management frameworks, fee structures, reporting mechanisms, and regulatory compliance measures. It must align with various Indian regulations, including the SEBI (Portfolio Managers) Regulations, 2020, SEBI (Investment Advisers) Regulations, 2013, and other applicable financial services laws.
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1. Parties: Details of the Asset Management Company and the Client/Investor
2. Background: Context of the proposal and brief introduction of the asset management company's expertise
3. Definitions: Key terms used throughout the proposal
4. Investment Philosophy and Approach: Overview of the firm's investment methodology and strategic approach
5. Scope of Services: Detailed description of asset management services to be provided
6. Investment Strategy: Specific investment strategies and asset allocation approaches proposed
7. Fee Structure: Comprehensive breakdown of management fees, performance fees, and other charges
8. Risk Factors: Mandatory disclosure of various investment and market risks
9. Reporting and Communication: Details of performance reporting, meeting frequency, and communication protocols
10. Compliance and Regulatory Framework: Overview of regulatory compliance and legal obligations
11. Term and Termination: Duration of the agreement and conditions for termination
12. Confidentiality: Provisions regarding the confidentiality of client information and investment strategies
1. Environmental, Social and Governance (ESG) Approach: For proposals involving ESG-focused investment strategies
2. International Investment Framework: Required when dealing with international investments or offshore clients
3. Alternative Investments Strategy: When the proposal includes alternative investment options
4. Digital Assets Management: For proposals involving cryptocurrency or digital asset investments
5. Family Office Services: When comprehensive family office services are part of the proposal
6. Tax Considerations: Detailed section on tax implications when specific tax planning is part of the service
7. Succession Planning: For high-net-worth clients requiring inheritance and succession planning
1. Schedule A - Investment Guidelines: Detailed investment parameters, restrictions, and guidelines
2. Schedule B - Fee Schedule: Detailed breakdown of all fees, charges, and payment terms
3. Schedule C - Risk Disclosure Document: Comprehensive risk disclosure as required by SEBI regulations
4. Schedule D - KYC Requirements: List of required KYC documents and compliance requirements
5. Schedule E - Performance Reporting Format: Template and methodology for performance reporting
6. Appendix 1 - Team Profiles: Biographies of key investment team members
7. Appendix 2 - Track Record: Historical performance data and case studies
8. Appendix 3 - Service Level Agreement: Detailed service standards and deliverables
Relevant legal definitions
Clauses
Relevant Industries
Financial Services
Banking
Insurance
Investment Management
Wealth Management
Private Equity
Real Estate
Technology
Healthcare
Manufacturing
Energy
Infrastructure
Education
Non-Profit
Relevant Teams
Legal
Compliance
Investment Management
Risk Management
Client Relations
Business Development
Operations
Research and Analysis
Portfolio Administration
Wealth Management
Corporate Strategy
Product Development
Relevant Roles
Chief Investment Officer
Portfolio Manager
Investment Advisor
Compliance Officer
Legal Counsel
Risk Manager
Relationship Manager
Business Development Manager
Investment Analyst
Financial Advisor
Wealth Manager
Asset Management Director
Chief Financial Officer
Investment Strategist
Client Services Manager
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