Investment Management Contract

Investment Management Contract Template for Malaysia

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Key Requirements PROMPT example:

"I need an Investment Management Contract for a Malaysian pension fund appointing an investment manager to handle a diversified portfolio of RM500 million, with specific ESG investment requirements and quarterly reporting obligations, to be effective from March 2025."

Document background

The Investment Management Contract serves as the foundational document establishing the professional relationship between investment managers and their clients in Malaysia. It is essential for any arrangement where a licensed investment manager takes on the responsibility of managing client assets on a discretionary basis. The document must comply with Malaysian regulatory requirements, particularly those set out by the Securities Commission Malaysia and the Capital Markets and Services Act 2007. It details crucial elements such as investment mandates, risk parameters, fee structures, reporting obligations, and compliance requirements. This contract type is particularly important given Malaysia's growing role as a financial center and the increasing sophistication of its investment management industry. It provides necessary legal protection for both parties while ensuring regulatory compliance and operational clarity.

Suggested Sections

1. Parties: Identification of the investment manager and the client, including registration details and licensing information

2. Background: Context of the agreement and brief description of the investment management services to be provided

3. Definitions: Key terms used throughout the agreement, including investment-specific terminology

4. Appointment and Authority: Formal appointment of the investment manager and scope of discretionary authority

5. Investment Objectives and Strategy: Agreed investment objectives, strategy, and any specific investment guidelines

6. Investment Restrictions: Specific limitations on investments, including regulatory restrictions and client preferences

7. Fees and Expenses: Management fees, performance fees, expense allocation, and payment terms

8. Representations and Warranties: Statements of fact and assurances from both parties

9. Compliance and Regulatory Matters: Obligations regarding regulatory compliance, including AML/KYC requirements

10. Reporting and Valuations: Requirements for periodic reporting, performance measurement, and portfolio valuations

11. Risk Disclosures: Mandatory risk warnings and acknowledgments

12. Liability and Indemnification: Extent of manager's liability and mutual indemnification provisions

13. Confidentiality: Protection of confidential information and trade secrets

14. Termination: Circumstances and procedures for terminating the agreement

15. General Provisions: Standard clauses including governing law, notices, and amendment procedures

Optional Sections

1. Soft Dollar Arrangements: Include when the manager may utilize soft dollar benefits, detailing permitted arrangements and disclosure requirements

2. Securities Lending: Include when securities lending activities are contemplated as part of the investment strategy

3. Foreign Investment Provisions: Include when portfolio includes foreign investments, addressing currency risks and foreign market requirements

4. ESG Investment Criteria: Include when environmental, social, and governance criteria are part of the investment strategy

5. Side Letter Provisions: Include when certain investors receive preferential terms or additional rights

6. Sub-Advisory Arrangements: Include when sub-managers or advisors may be appointed

7. Performance Fee Structure: Include when performance-based fees are part of the compensation structure

Suggested Schedules

1. Investment Guidelines: Detailed investment parameters, restrictions, and permitted investments

2. Fee Schedule: Detailed breakdown of all fees, calculations, and payment terms

3. Authorized Persons: List of individuals authorized to give instructions on behalf of the client

4. Reporting Requirements: Detailed specifications for content and format of regular reports

5. Risk Disclosure Statement: Comprehensive risk disclosures as required by Malaysian regulations

6. Compliance Requirements: Detailed AML/KYC requirements and ongoing compliance obligations

7. Service Level Agreement: Specific performance standards and service levels to be maintained

8. Power of Attorney: When required, formal authorization for the manager to act on behalf of the client

Authors

Alex Denne

Head of Growth (Open Source Law) @ ��Ƶ | 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

Asset Management

Banking

Insurance

Pension Funds

Family Offices

Private Wealth Management

Corporate Treasury

Investment Banking

Fund Management

Relevant Teams

Legal

Compliance

Investment Management

Risk Management

Client Relations

Operations

Finance

Due Diligence

Portfolio Management

Treasury

Investment Analysis

Wealth Management

Relevant Roles

Chief Investment Officer

Portfolio Manager

Investment Manager

Compliance Officer

Legal Counsel

Risk Manager

Client Relationship Manager

Fund Manager

Investment Analyst

Wealth Manager

Treasury Manager

Chief Financial Officer

Investment Director

Operations Manager

Due Diligence Officer

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Authors

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