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Investment Agency Agreement

Investment Agency Agreement Template for Australia

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Key Requirements PROMPT example:

Investment Agency Agreement

"I need an Investment Agency Agreement for a Sydney-based wealth management firm acting as an investment agent for high-net-worth international clients, with authority to invest in Australian securities and real estate assets, starting from March 2025."

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Document background
The Investment Agency Agreement is a crucial document used in the Australian financial services sector when establishing a formal relationship between an investment agent and a principal who wishes to delegate investment authority. This agreement is particularly relevant in situations where professional investment management services are required, whether for individual high-net-worth clients, institutional investors, or corporate entities. The document must comply with Australian regulatory requirements, including the Corporations Act 2001 and ASIC guidelines, particularly regarding financial services licensing, consumer protection, and disclosure obligations. It typically includes comprehensive details about investment strategies, risk management, reporting requirements, fee structures, and the scope of the agent's authority. The agreement is essential for ensuring clear accountability and protecting both parties' interests while maintaining regulatory compliance in the Australian investment landscape.
Suggested Sections

1. Parties: Identification of the Principal and the Investment Agent

2. Background: Context of the agreement and general purpose

3. Definitions and Interpretation: Key terms and interpretation principles

4. Appointment and Authority: Scope of agent's appointment and investment authority

5. Regulatory Compliance: Compliance with relevant laws and regulations

6. Agent's Duties and Obligations: Core responsibilities and fiduciary duties

7. Investment Guidelines: Parameters and restrictions for investments

8. Fees and Expenses: Fee structure, payment terms, and reimbursable expenses

9. Reporting Requirements: Regular reporting obligations and communication protocols

10. Risk Disclosures: Investment risks and limitations of agency

11. Representations and Warranties: Standard declarations by both parties

12. Confidentiality: Protection of confidential information

13. Liability and Indemnification: Limitation of liability and indemnification provisions

14. Term and Termination: Duration and termination provisions

15. Dispute Resolution: Process for resolving disputes

16. General Provisions: Standard boilerplate clauses

Optional Sections

1. Retail Client Provisions: Additional protections required for retail investors under the Corporations Act

2. International Investment Provisions: Specific clauses for managing international investments

3. Sub-Agent Appointment: Terms for appointing and managing sub-agents

4. Performance Fees: Structure for performance-based compensation

5. Custody Arrangements: Terms for holding and safeguarding client assets

6. Electronic Trading: Provisions for electronic trading platforms and systems

7. ESG Investment Criteria: Environmental, Social and Governance investment requirements

Suggested Schedules

1. Schedule 1 - Investment Guidelines: Detailed investment parameters, restrictions, and asset allocation

2. Schedule 2 - Fee Schedule: Detailed breakdown of all fees, charges, and calculation methods

3. Schedule 3 - Authorized Persons: List of authorized representatives and their authority levels

4. Schedule 4 - Reporting Requirements: Specific reporting formats, frequencies, and content requirements

5. Schedule 5 - Risk Disclosure Statement: Detailed disclosure of investment risks

6. Appendix A - Account Opening Forms: Required forms and documentation for account setup

7. Appendix B - Compliance Procedures: Detailed compliance requirements and procedures

Authors

Alex Denne

Head of Growth (Open Source Law) @ Genie AI | 3 x UCL-Certified in Contract Law & Drafting | 4+ Years Managing 1M+ Legal Documents | Serial Founder & Legal AI Author

Linkedin in social icon imageX social icon image
alex.den.21@genieai.co
Relevant legal definitions
Affiliate
AFSL
Applicable Laws
ASIC
Authorized Investments
Authorized Person
Business Day
Client Money
Commencement Date
Confidential Information
Corporations Act
Custodian
Event of Default
Fees
Financial Product
Financial Service
Force Majeure Event
Investment Guidelines
Investment Mandate
Investment Objectives
Investment Strategy
Key Person
Management Fee
Material Adverse Effect
Net Asset Value
Performance Fee
Portfolio
Principal
Professional Investor
Prohibited Investment
Retail Client
Securities
Services
Sub-Agent
Term
Transaction
Valuation Date
Wholesale Client
Working Hours
Clauses
Appointment
Authority
Scope of Services
Regulatory Compliance
Investment Guidelines
Risk Management
Fees and Expenses
Payment Terms
Reporting Requirements
Record Keeping
Confidentiality
Data Protection
Representations and Warranties
Duties and Obligations
Standard of Care
Conflicts of Interest
Delegation
Sub-Contracting
Performance Standards
Investment Restrictions
Client Money
Custody
Risk Disclosure
Indemnification
Limitation of Liability
Force Majeure
Term
Termination
Dispute Resolution
Governing Law
Assignment
Amendments
Notices
Entire Agreement
Severability
Counterparts
Relevant Industries

Financial Services

Investment Management

Banking

Wealth Management

Asset Management

Private Equity

Hedge Funds

Superannuation

Corporate Advisory

Fund Management

Relevant Teams

Legal

Compliance

Investment Management

Risk Management

Operations

Client Services

Due Diligence

Portfolio Management

Wealth Management

Corporate Advisory

Relevant Roles

Investment Manager

Portfolio Manager

Chief Investment Officer

Compliance Officer

Legal Counsel

Risk Manager

Financial Advisor

Wealth Manager

Investment Director

Fund Manager

Client Relationship Manager

Operations Manager

Due Diligence Officer

Investment Analyst

Corporate Lawyer

Industries
Corporations Act 2001 (Cth): Primary legislation governing corporate entities and financial services in Australia. Particularly relevant are Chapter 7 (Financial Services and Markets) and provisions relating to Australian Financial Services License requirements.
Australian Securities and Investments Commission Act 2001: Establishes ASIC's role and powers in regulating financial services and contains consumer protection provisions for financial services.
Financial Sector (Collection of Data) Act 2001: Relevant for reporting requirements and data collection obligations for financial sector entities.
Anti-Money Laundering and Counter-Terrorism Financing Act 2006: Establishes obligations for customer due diligence, reporting and monitoring of financial transactions.
Privacy Act 1988 (Cth): Governs the handling of personal information, including financial information of clients.
Australian Consumer Law (Schedule 2 of the Competition and Consumer Act 2010): Contains general consumer protection provisions that may apply to retail investors.
Contract Law (Common Law): Common law principles governing contract formation, terms, and enforcement.
Agency Law (Common Law): Common law principles governing the relationship between principal and agent, including fiduciary duties.
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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