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Assignment Of Investment Advisory Contract

Assignment Of Investment Advisory Contract Template for India

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Key Requirements PROMPT example:

Assignment Of Investment Advisory Contract

"I need an Assignment of Investment Advisory Contract for transferring my SEBI-registered investment advisory practice to another firm due to my upcoming retirement in March 2025, with specific provisions for a 3-month transition period and continued access to historical client records."

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Document background
The Assignment Of Investment Advisory Contract is a crucial document used when an investment advisor needs to transfer their advisory responsibilities to another registered advisor in India. This situation commonly arises during business restructuring, mergers and acquisitions, retirement of advisors, or strategic business realignments. The document must comply with SEBI (Investment Advisers) Regulations, 2013, and other relevant Indian legislation. It includes comprehensive details about the original advisory agreement, the parties involved, regulatory compliance requirements, client consent procedures, and transition arrangements. This document is essential for maintaining regulatory compliance while ensuring smooth transition of advisory services and protecting client interests. It addresses key aspects such as fee structures, liability transfers, data protection, and ongoing service commitments.
Suggested Sections

1. Parties: Identifies the original investment advisor (Assignor), the new investment advisor (Assignee), and the Client(s)

2. Background: Details of the original investment advisory agreement and the context for the assignment

3. Definitions: Defines key terms used throughout the agreement, including regulatory terms as per SEBI guidelines

4. Assignment and Acceptance: Core provisions detailing the transfer of rights and obligations from Assignor to Assignee

5. Effective Date: Specifies when the assignment takes effect and any conditions precedent

6. Regulatory Compliance: Confirmations regarding SEBI registration and compliance requirements

7. Transfer of Responsibilities: Detailed description of duties and obligations being transferred

8. Client Consent: Acknowledgment and consent from the client regarding the assignment

9. Fees and Payment Terms: Details of any changes in fee structure or payment arrangements

10. Representations and Warranties: Statements of fact and assurances from all parties

11. Indemnification: Provisions regarding liability and indemnification between parties

12. Governing Law and Jurisdiction: Specifies Indian law as governing law and relevant jurisdiction

13. Execution: Signature blocks and execution formalities

Optional Sections

1. Transition Period: Optional section detailing any transition period between advisors, used when immediate transfer is not practical

2. Non-Compete Provisions: Restrictions on the Assignor's future activities, included when required by business context

3. Data Protection: Specific provisions for handling client data during transfer, included when dealing with sensitive personal data

4. Force Majeure: Provisions for unforeseen circumstances, included in more comprehensive assignments

5. Dispute Resolution: Alternative dispute resolution mechanisms, included when parties prefer arbitration or mediation

6. Confidentiality: Additional confidentiality provisions beyond standard terms, used when handling sensitive information

Suggested Schedules

1. Schedule 1 - Original Advisory Agreement: Copy of the original investment advisory agreement being assigned

2. Schedule 2 - SEBI Registration Certificates: Copies of SEBI registration certificates for both Assignor and Assignee

3. Schedule 3 - Client Portfolio Details: List of client accounts and investments being transferred

4. Schedule 4 - Fee Structure: Detailed breakdown of current and proposed fee arrangements

5. Appendix A - Transition Plan: Detailed plan for transitioning services and client relationships

6. Appendix B - Client Consent Forms: Template or copies of client consent documentation

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

Wealth Management

Private Banking

Asset Management

Professional Services

Financial Advisory

Corporate Finance

Family Office Services

Relevant Teams

Legal

Compliance

Investment Advisory

Wealth Management

Operations

Risk Management

Client Relations

Regulatory Affairs

Corporate Secretarial

Senior Management

Relevant Roles

Investment Advisor

Compliance Officer

Legal Counsel

Wealth Manager

Portfolio Manager

Chief Investment Officer

Risk Manager

Financial Advisor

Managing Director

Chief Executive Officer

Operations Manager

Client Relationship Manager

Regulatory Affairs Manager

Company Secretary

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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