The Mutual Fund Agreement serves as the foundational document for establishing and managing mutual fund investments in the Philippines. It is used when setting up new mutual fund relationships or updating existing investment arrangements to comply with current regulations. The agreement encompasses all essential aspects required by Philippine law, including the Investment Company Act and SEC regulations, detailing the roles and responsibilities of all parties involved, investment strategies, risk factors, and operational procedures. This document is crucial for investment management companies operating in the Philippines as it provides the legal framework for pooling and managing investor funds while ensuring regulatory compliance and investor protection. The agreement must be registered with the Securities and Exchange Commission and includes specific provisions required by Philippine securities laws.
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1. Parties: Identification of the fund management company, trustee/custodian, and the investor(s)
2. Background: Context of the agreement and brief description of the mutual fund's objectives
3. Definitions: Detailed definitions of terms used throughout the agreement
4. Fund Structure and Governance: Legal structure of the fund, roles of key parties, and governance framework
5. Investment Objectives and Policies: Detailed description of investment goals, strategies, and restrictions
6. Subscription and Redemption: Procedures for purchasing and redeeming fund units/shares
7. Fees and Charges: Complete breakdown of all fees, charges, and expenses
8. Risk Disclosure: Comprehensive disclosure of investment risks and market factors
9. Valuation and Pricing: Methods for calculating net asset value and unit/share prices
10. Reporting and Communications: Requirements for financial reporting and investor communications
11. Rights and Obligations: Detailed rights and obligations of all parties
12. Term and Termination: Duration of the agreement and conditions for termination
13. Amendments: Process for making changes to the agreement or fund policies
14. Governing Law and Jurisdiction: Applicable laws and jurisdiction for dispute resolution
15. Miscellaneous Provisions: Standard legal provisions including notices, assignment, and severability
1. Electronic Trading Facility: Terms for online trading access and execution, included when electronic trading is offered
2. Foreign Investment Provisions: Special provisions for foreign investments, included when the fund invests internationally
3. Switching Facilities: Terms for switching between different funds, included when multiple funds are offered
4. Regular Investment Plans: Terms for systematic investment plans, included when regular investment options are offered
5. Tax Considerations: Specific tax implications and requirements, included when special tax considerations apply
6. Distribution Policy: Details of dividend/distribution policy, included for income-generating funds
7. Anti-Money Laundering Provisions: Detailed AML procedures, included for high-risk or high-value investments
1. Schedule A - Fund Details: Specific details of the fund including investment restrictions and parameters
2. Schedule B - Fee Schedule: Detailed breakdown of all fees, charges, and calculation methods
3. Schedule C - Subscription Form: Standard form for initial and subsequent investments
4. Schedule D - Redemption Form: Standard form for redemption requests
5. Schedule E - Risk Disclosure Statement: Detailed risk factors and scenarios
6. Schedule F - Valuation Methods: Detailed procedures for asset valuation
7. Appendix 1 - KYC Requirements: Documents required for customer verification
8. Appendix 2 - Tax Forms: Required tax declarations and forms
9. Appendix 3 - Fund Performance History: Historical performance data and benchmarks
Relevant legal definitions
Clauses
Relevant Industries
Financial Services
Investment Management
Banking
Asset Management
Securities and Trading
Wealth Management
Fund Administration
Professional Services
Regulatory Compliance
Relevant Teams
Legal
Compliance
Investment Management
Risk Management
Operations
Client Services
Product Development
Sales
Finance
Due Diligence
Portfolio Management
Relationship Management
Trust Services
Relevant Roles
Fund Manager
Compliance Officer
Legal Counsel
Investment Advisor
Portfolio Manager
Risk Manager
Chief Investment Officer
Chief Financial Officer
Operations Manager
Client Relations Manager
Due Diligence Officer
Product Development Manager
Sales Director
Relationship Manager
Trust Officer
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