The Asset Management Contract serves as the primary agreement between professional asset managers and their clients in Malta, operating within the framework of EU and Maltese financial services legislation. This document is essential when establishing a formal investment management relationship, whether for individual wealth management, institutional portfolio management, or specialized asset management services. It outlines the scope of services, investment parameters, risk considerations, and regulatory obligations under Maltese law and EU directives. The contract is particularly important for compliance with the Investment Services Act of Malta and MiFID II requirements, incorporating necessary provisions for client protection, transparency, and regulatory reporting. It's designed to accommodate various client classifications and investment strategies while maintaining compliance with MFSA guidelines.
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1. Parties: Identification of the asset manager and the client, including registration details and contact information
2. Background: Context of the agreement and brief description of the services to be provided
3. Definitions: Definitions of key terms used throughout the agreement
4. Appointment and Scope of Services: Formal appointment of the asset manager and detailed description of services to be provided
5. Authority and Discretion: Extent of asset manager's discretionary authority and any limitations
6. Investment Objectives and Restrictions: Client's investment objectives, risk profile, and any investment restrictions
7. Duties and Responsibilities: Detailed obligations of the asset manager, including reporting, monitoring, and compliance
8. Client's Representations and Warranties: Client's confirmations regarding their status, authority, and understanding of risks
9. Fees and Expenses: Management fees, performance fees, and other charges, including calculation methods and payment terms
10. Reporting and Valuations: Frequency and content of reports, valuation methods and timing
11. Risk Disclosures: Comprehensive disclosure of investment risks and market uncertainties
12. Conflicts of Interest: Disclosure and management of potential conflicts of interest
13. Compliance with Laws: Obligations regarding regulatory compliance, AML, and other applicable laws
14. Confidentiality and Data Protection: Provisions for handling confidential information and personal data under GDPR
15. Term and Termination: Duration of agreement and circumstances for termination
16. Liability and Indemnification: Extent of asset manager's liability and mutual indemnification provisions
17. Notices: Methods and requirements for formal communications between parties
18. Governing Law and Jurisdiction: Specification of Maltese law as governing law and jurisdiction for disputes
1. Best Execution Policy: Detailed policy for achieving best execution, required for retail clients under MiFID II
2. Custody Arrangements: Include when the asset manager arranges custody services through third parties
3. Sub-Advisory Arrangements: Required when portions of the portfolio may be delegated to sub-advisors
4. Performance Benchmarks: Include when specific performance benchmarks are used to measure performance
5. Foreign Account Provisions: Required for clients subject to foreign account reporting requirements
6. Electronic Services: Include when providing online portfolio access or electronic trading facilities
7. Sustainable Investment Criteria: Required when ESG or sustainable investment criteria are part of the mandate
1. Schedule 1 - Fee Schedule: Detailed breakdown of all fees, charges, and calculation methodologies
2. Schedule 2 - Investment Guidelines: Specific investment guidelines, restrictions, and permitted investments
3. Schedule 3 - Reporting Requirements: Detailed reporting requirements including format, frequency, and content
4. Schedule 4 - Authorized Persons: List of persons authorized to give instructions on behalf of the client
5. Schedule 5 - Risk Disclosure Statement: Comprehensive risk disclosures specific to the investment strategy
6. Appendix A - Client Classification: Documentation of client's classification under MiFID II
7. Appendix B - Custody Details: Details of custody arrangements and third-party custodians
8. Appendix C - Best Execution Policy: Detailed policy for achieving best execution of trades
9. Appendix D - Conflicts of Interest Policy: Detailed policy for managing conflicts of interest
Relevant legal definitions
Clauses
Relevant Industries
Financial Services
Investment Management
Wealth Management
Private Banking
Insurance
Real Estate Investment
Fund Management
Pension Management
Family Office Services
Corporate Treasury
Relevant Teams
Legal
Compliance
Investment Management
Risk Management
Client Relations
Operations
Due Diligence
Portfolio Administration
Investment Analysis
Wealth Management
Product Development
Client Onboarding
Relevant Roles
Chief Investment Officer
Portfolio Manager
Investment Manager
Compliance Officer
Legal Counsel
Risk Manager
Relationship Manager
Investment Advisor
Wealth Manager
Asset Management Director
Head of Operations
Chief Financial Officer
Investment Analyst
Due Diligence Officer
Client Services Manager
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