The Financial Management Agreement is a critical document used when establishing a professional relationship between a financial manager and a client in the Philippines. It serves as the primary contract governing investment management services, outlining the manager's authority to make investment decisions on behalf of the client while ensuring compliance with Philippine regulatory requirements, including BSP Circular No. 1112 (2021) and the Securities Regulation Code. The agreement is essential for both institutional and individual clients seeking professional financial management services, incorporating mandatory risk disclosures, consumer protection provisions, and detailed service specifications. It includes comprehensive provisions for investment guidelines, performance reporting, fee structures, and fiduciary responsibilities, all aligned with Philippine legal and regulatory frameworks.
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1. Parties: Identification of the Financial Manager and the Client, including complete legal names, addresses, and registration details
2. Background: Context of the agreement, including the Financial Manager's qualifications and the Client's objectives
3. Definitions: Definitions of key terms used throughout the agreement
4. Appointment and Scope of Services: Formal appointment of the Financial Manager and detailed description of services to be provided
5. Authority and Discretion: Extent of Financial Manager's authority to make investment decisions and manage assets
6. Investment Guidelines and Restrictions: Agreed-upon investment parameters, restrictions, and risk management policies
7. Fees and Expenses: Detailed fee structure, calculation methods, and payment terms
8. Representations and Warranties: Statements of fact and assurances from both parties
9. Duties and Obligations: Specific responsibilities of both the Financial Manager and Client
10. Reporting and Communication: Requirements for performance reporting, client communications, and documentation
11. Confidentiality: Provisions for protecting confidential information and compliance with data privacy laws
12. Risk Disclosures: Mandatory risk warnings and acknowledgments as required by Philippine regulations
13. Term and Termination: Duration of the agreement and conditions for termination
14. Indemnification: Mutual indemnification provisions and liability limitations
15. Governing Law and Jurisdiction: Specification of Philippine law as governing law and jurisdiction for disputes
16. General Provisions: Standard clauses including notices, amendments, and severability
1. Custody Arrangements: Required when custody services are provided by a third party or the Financial Manager
2. Foreign Investment Provisions: Needed when portfolio includes foreign investments or offshore accounts
3. Tax Handling: Include when the Financial Manager provides tax-related services or reporting
4. ESG Investment Criteria: Required when client specifies environmental, social, and governance investment criteria
5. Sub-Advisory Arrangements: Include when portions of the portfolio may be managed by sub-advisors
6. Insurance Coverage: Details of professional indemnity insurance when specifically required by client
7. Performance Fees: Optional incentive fee structures, if applicable
8. Digital Services Access: Include when providing online portfolio access or digital services
1. Schedule A - Investment Policy Statement: Detailed investment objectives, strategy, asset allocation, and benchmarks
2. Schedule B - Fee Schedule: Comprehensive breakdown of management fees, expenses, and calculation methodologies
3. Schedule C - Authorized Persons: List of individuals authorized to give instructions on behalf of the Client
4. Schedule D - Reporting Requirements: Specific format, frequency, and content of reports to be provided
5. Schedule E - Risk Disclosure Statement: Detailed risk disclosures as required by Philippine regulations
6. Appendix 1 - KYC Documentation: Required know-your-client and anti-money laundering documentation
7. Appendix 2 - Investment Guidelines: Specific investment restrictions, limits, and permitted instruments
8. Appendix 3 - Service Level Agreement: Detailed service standards and performance metrics
Relevant legal definitions
Clauses
Relevant Industries
Financial Services
Banking
Investment Management
Asset Management
Wealth Management
Insurance
Pension Funds
Private Equity
Trust Services
Corporate Treasury
Family Office Services
Fund Management
Relevant Teams
Legal
Compliance
Investment Management
Risk Management
Client Services
Operations
Treasury
Finance
Wealth Management
Portfolio Administration
Investment Analysis
Client Onboarding
Relevant Roles
Chief Investment Officer
Portfolio Manager
Investment Manager
Financial Advisor
Wealth Manager
Trust Officer
Compliance Officer
Legal Counsel
Risk Manager
Client Relationship Manager
Chief Financial Officer
Treasury Manager
Investment Analyst
Fund Manager
Asset Manager
Private Banker
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