Investment Consulting Agreement

Investment Consulting Agreement Template for United States

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Key Requirements PROMPT example:

"I need an Investment Consulting Agreement for my hedge fund to engage a consultant who will provide quarterly portfolio reviews and risk assessment services, with specific provisions for ESG investment strategies and cryptocurrency exposure limitations."

Document background

The Investment Consulting Agreement is a critical document used when establishing a professional relationship between an investment consultant and their clients in the United States. This agreement outlines the consultant's responsibilities, including investment strategy development, portfolio monitoring, and performance reporting, while ensuring compliance with SEC regulations, state securities laws, and fiduciary obligations. It's essential for protecting both parties' interests and establishing clear parameters for the consulting relationship, particularly important given the regulated nature of investment advisory services under U.S. law.

Suggested Sections

1. Parties: Identification of the investment consultant and client

2. Background: Context and purpose of the agreement, including regulatory framework and qualifications

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

4. Scope of Services: Detailed description of investment consulting services to be provided, including analysis, recommendations, and monitoring

5. Fees and Payment Terms: Compensation structure, payment schedule, and any additional charges

6. Term and Termination: Duration of agreement and conditions for termination by either party

7. Confidentiality: Protection of confidential information and trade secrets

8. Standard of Care: Fiduciary duties, professional standards, and compliance with applicable laws

9. Representations and Warranties: Statements of fact and promises made by both parties

10. Indemnification: Terms for mutual protection against losses and liabilities

Optional Sections

1. ERISA Provisions: Additional terms and obligations when serving ERISA plan clients

2. Performance Reporting: Specific requirements for performance measurement and reporting

3. Sub-Advisor Provisions: Terms governing the engagement and oversight of sub-advisors

4. Proxy Voting: Terms regarding proxy voting responsibilities and procedures

5. Regulatory Compliance: Special provisions for regulatory compliance and reporting requirements

Suggested Schedules

1. Schedule A - Fee Schedule: Detailed breakdown of all fees, charges, and payment terms

2. Schedule B - Investment Policy Statement: Client's investment objectives, constraints, and guidelines

3. Schedule C - Service Level Agreement: Specific performance metrics and service standards

4. Schedule D - Compliance Procedures: Detailed compliance requirements and procedures

5. Schedule E - Required Disclosures: SEC-required disclosures and Form ADV

6. Schedule F - Authorized Representatives: List of authorized client representatives who can provide instructions

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

Agreement

Business Day
Client
Confidential Information

Effective Date
ERISA

Services

Term
Termination Date

Clauses

Relevant Industries

Financial Services
Banking
Insurance
Pension Funds
Endowments

Relevant Teams

Investment Team
Legal Department
Compliance Department
Risk Management
Client Relations

Relevant Roles

Chief Investment Officer
Investment Consultant
Portfolio Manager
Financial Advisor
Compliance Officer

Industries

Investment Advisers Act of 1940: Primary federal law regulating investment advisers and consulting firms, requiring registration, setting fiduciary duties, and establishing disclosure obligations

Securities Act of 1933: Federal law governing initial public offerings and securities registration, requiring full disclosure of material information for investment decisions

Securities Exchange Act of 1934: Federal law establishing the SEC and regulating secondary market trading, including anti-fraud provisions and ongoing reporting requirements

Dodd-Frank Act: Comprehensive financial reform legislation affecting investment advisers, including registration requirements and enhanced reporting obligations

Investment Company Act of 1940: Federal law regulating investment companies and mutual funds, important when consulting on fund investments

ERISA: Federal law governing pension and retirement plans, crucial when providing investment consulting services to retirement accounts

SEC Regulations: Regulatory requirements from the Securities and Exchange Commission, including registration, reporting, and compliance obligations

FINRA Rules: Self-regulatory organization rules governing broker-dealers and investment advisers, including conduct standards and operational requirements

Blue Sky Laws: State-specific securities laws that regulate the offering and sale of securities to protect investors from fraudulent activities

Gramm-Leach-Bliley Act: Federal law requiring financial institutions to explain their information-sharing practices and protect sensitive data

Bank Secrecy Act: Federal law requiring financial institutions to assist government agencies in detecting and preventing money laundering

PATRIOT Act: Federal law including provisions for customer identification programs and enhanced due diligence requirements for financial institutions

State Contract Laws: State-specific laws governing contract formation, enforcement, and interpretation

State Fiduciary Laws: State-specific regulations defining and governing fiduciary duties and responsibilities

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Authors

Alex Denne

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