Investment Management Contract Template for Canada

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Key Requirements PROMPT example:

Investment Management Contract

"I need an Investment Management Contract for a boutique wealth management firm based in Ontario, specializing in ESG investments for high-net-worth individuals, with specific provisions for impact investing and quarterly performance reporting."

Document background

The Investment Management Contract serves as the foundational document for establishing and governing the relationship between professional investment managers and their clients in Canada. This agreement is essential when an individual or institution delegates investment decision-making authority to a professional manager regulated under Canadian securities laws. The contract comprehensively addresses crucial elements including investment strategy, risk management, fee structures, and reporting requirements, while ensuring compliance with federal and provincial regulatory requirements. It is particularly important for registered investment managers under National Instrument 31-103 and must reflect specific Canadian regulatory obligations regarding fiduciary duty, know-your-client requirements, and investor protection measures. The agreement typically includes detailed schedules for investment policies, fee structures, and specific client requirements, making it adaptable to various investment management scenarios while maintaining regulatory compliance.

Suggested Sections

1. Parties: Identification of the investment manager and the client, including full legal names and addresses

2. Background: Context of the agreement and brief description of the parties' intentions

3. Definitions: Detailed definitions of key terms used throughout the agreement

4. Appointment and Authority: Formal appointment of the investment manager and scope of discretionary authority

5. Investment Services: Detailed description of services to be provided by the investment manager

6. Investment Objectives and Restrictions: Client's investment goals, risk tolerance, and any specific investment restrictions

7. Fees and Expenses: Management fees, performance fees, expense allocation, and payment terms

8. Representations and Warranties: Standard representations from both parties regarding capacity, authority, and compliance

9. Reporting and Communications: Requirements for periodic reporting, valuation methods, and communication protocols

10. Compliance and Regulatory Matters: Obligations regarding regulatory compliance, including KYC and AML requirements

11. Standard of Care and Liability: Investment manager's fiduciary duties and limitations of liability

12. Confidentiality: Protection of confidential information and client privacy

13. Term and Termination: Duration of agreement and circumstances for termination

14. General Provisions: Standard boilerplate clauses including governing law, notices, and amendments

Optional Sections

1. Custody Arrangements: Required when the investment manager is involved in custody arrangements or recommendations

2. Proxy Voting: Include when the investment manager will have authority to vote proxies

3. Foreign Investment Provisions: Required when portfolio includes non-Canadian investments

4. Sub-Advisory Arrangements: Include when third-party sub-advisors may be engaged

5. Performance Standards: Optional section for defining specific performance benchmarks

6. ESG Investment Criteria: Include when environmental, social, and governance factors are part of the investment strategy

7. Securities Lending: Required when securities lending activities are contemplated

8. Client Direction for Specific Investments: Include when client requires certain investments to be maintained

Suggested Schedules

1. Schedule A - Investment Policy Statement: Detailed investment objectives, strategy, asset allocation, and restrictions

2. Schedule B - Fee Schedule: Detailed breakdown of all fees, calculations, and payment terms

3. Schedule C - Authorized Persons: List of individuals authorized to give instructions on behalf of the client

4. Schedule D - Reporting Requirements: Specific details of required reports, frequency, and content

5. Schedule E - Risk Disclosure Statement: Detailed disclosure of investment risks and risk management approach

6. Appendix 1 - KYC Documentation: Client's know-your-client information and risk profile assessment

7. Appendix 2 - Custody Agreement: Details of custody arrangements if applicable

8. Appendix 3 - Compliance Procedures: Relevant compliance policies and procedures affecting the client relationship

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

alex.den.21@genieai.co

Relevant legal definitions

Clauses

Relevant Industries

Financial Services

Banking

Investment Management

Wealth Management

Insurance

Pension Funds

Private Equity

Asset Management

Family Offices

Institutional Investment

Corporate Treasury

Fund Administration

Relevant Teams

Legal

Compliance

Investment Management

Portfolio Management

Risk Management

Client Services

Operations

Finance

Investment Strategy

Wealth Management

Trust Services

Investment Advisory

Fund Administration

Relevant Roles

Investment Manager

Portfolio Manager

Chief Investment Officer

Legal Counsel

Compliance Officer

Risk Manager

Relationship Manager

Investment Advisor

Fund Manager

Chief Financial Officer

Investment Operations Manager

Client Service Manager

Director of Investment Strategy

Wealth Management Advisor

Trust Officer

Investment Consultant

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Authors

Alex Denne

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