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Investment Consulting Agreement

Investment Consulting Agreement Template for South Africa

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Key Requirements PROMPT example:

Investment Consulting Agreement

"I need an Investment Consulting Agreement for my South African wealth management firm to provide services to high-net-worth individuals, with specific provisions for offshore investments and detailed performance reporting requirements, ensuring full FAIS Act compliance."

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Document background
The Investment Consulting Agreement is essential for formalizing professional investment advisory relationships in South Africa's regulated financial services sector. It is primarily used when an investment consultant or firm begins providing advisory services to clients, whether individuals or organizations. The agreement must comply with the Financial Advisory and Intermediary Services (FAIS) Act, the Financial Sector Regulation Act, and other relevant South African legislation. It typically includes detailed sections on service scope, fee structures, risk disclosures, and regulatory compliance requirements. This document is crucial for protecting both parties' interests while ensuring transparency and adherence to South African financial services regulations.
Suggested Sections

1. Parties: Identifies the investment consultant and the client, including full legal names, registration numbers, and addresses

2. Background: Establishes the context of the agreement, including the consultant's qualifications and licenses, and the client's desire for investment consulting services

3. Definitions: Defines key terms used throughout the agreement for clarity and legal certainty

4. Appointment and Scope of Services: Details the formal appointment and comprehensive description of investment consulting services to be provided

5. Regulatory Compliance: Addresses compliance with FAIS Act and other relevant legislation, including disclosures required by law

6. Duties and Responsibilities: Outlines specific obligations of both the consultant and client

7. Fees and Payment Terms: Details the fee structure, payment schedule, and any additional costs

8. Confidentiality: Provisions for protecting confidential information and compliance with POPIA

9. Duration and Termination: Specifies the term of the agreement and conditions for termination

10. Risk Disclosures: Mandatory risk warnings and investment-related disclaimers

11. Representations and Warranties: Key statements and guarantees made by both parties

12. Limitation of Liability: Defines the extent and limitations of the consultant's liability

13. Dispute Resolution: Procedures for handling disputes and choice of law provisions

14. General Provisions: Standard boilerplate clauses including notices, amendments, and entire agreement

Optional Sections

1. Intellectual Property: Required when proprietary investment analysis tools or methodologies are used

2. Non-Solicitation: Include when protecting against client or staff poaching is necessary

3. Performance Reporting: Include when regular performance reporting is part of the service offering

4. Sub-Contractors: Required when the consultant may need to engage other professionals

5. International Investments: Include when consulting services involve offshore investments

6. Delegation of Authority: Include when consultant requires specific powers to act on client's behalf

7. Force Majeure: Optional clause for protection against unforeseen circumstances

8. Marketing and References: Include when consultant wants rights to use client as a reference

Suggested Schedules

1. Schedule A - Fee Schedule: Detailed breakdown of all fees, charges, and commission structures

2. Schedule B - Service Level Agreement: Specific deliverables, timeframes, and service standards

3. Schedule C - Investment Mandate: Detailed investment objectives, strategies, and constraints

4. Schedule D - Required Client Information: Template for collecting necessary client information per FICA and FAIS requirements

5. Schedule E - Key Individual and Representatives: Details of authorized personnel who will provide services

6. Appendix 1 - Risk Disclosure Statement: Comprehensive risk disclosures required by FAIS Act

7. Appendix 2 - Compliance Documentation: Copies of licenses, registrations, and other regulatory compliance documents

8. Appendix 3 - Reporting Templates: Standard formats for regular reporting and communications

Authors

Alex Denne

Head of Growth (Open Source Law) @ ¶¶Òõ¶ÌÊÓƵ | 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

Investment Management

Wealth Management

Corporate Advisory

Private Banking

Insurance

Pension Fund Management

Asset Management

Professional Services

Banking

Family Office Services

Relevant Teams

Legal

Compliance

Investment Advisory

Wealth Management

Risk Management

Client Relations

Operations

Due Diligence

Investment Strategy

Portfolio Management

Financial Planning

Relevant Roles

Investment Consultant

Financial Advisor

Wealth Manager

Portfolio Manager

Chief Investment Officer

Compliance Officer

Legal Counsel

Risk Manager

Client Relationship Manager

Financial Services Representative

Investment Strategist

Senior Financial Planner

Managing Director

Operations Manager

Due Diligence Officer

Industries








Teams

Employer, Employee, Start Date, Job Title, Department, Location, Probationary Period, Notice Period, Salary, Overtime, Vacation Pay, Statutory Holidays, Benefits, Bonus, Expenses, Working Hours, Rest Breaks,  Leaves of Absence, Confidentiality, Intellectual Property, Non-Solicitation, Non-Competition, Code of Conduct, Termination,  Severance Pay, Governing Law, Entire Agreemen

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