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Investment Mandate Agreement
"I need an Investment Mandate Agreement under Swiss law for a pension fund client with strict ESG investment requirements, where our firm will manage a portfolio of European equities and fixed income securities starting March 2025."
1. Parties: Identification of the investment manager and the client, including regulatory status and client categorization
2. Background: Context of the agreement and brief description of the services to be provided
3. Definitions: Key terms used throughout the agreement
4. Appointment and Authority: Formal appointment of the investment manager and scope of discretionary authority
5. Investment Objectives and Strategy: Agreed investment strategy, objectives, and any restrictions
6. Investment Guidelines: Specific guidelines and restrictions for portfolio management
7. Fees and Expenses: Management fees, performance fees, and other charges
8. Reporting and Valuations: Frequency and content of portfolio reports and valuations
9. Risk Disclosures: Mandatory risk warnings and disclosures as required by FinSA
10. Client Representations and Warranties: Client confirmations regarding their status, understanding of risks, and authority
11. Manager Representations and Warranties: Manager confirmations regarding licensing, expertise, and regulatory compliance
12. Conflicts of Interest: Disclosure and management of potential conflicts
13. Liability and Indemnification: Extent of manager's liability and indemnification provisions
14. Termination: Terms for termination of the agreement and consequences
15. Confidentiality: Protection of confidential information and banking secrecy obligations
16. Data Protection: Compliance with Swiss data protection laws
17. Anti-Money Laundering: AML compliance obligations and requirements
18. Governing Law and Jurisdiction: Swiss law as governing law and jurisdiction provisions
19. Miscellaneous: Standard boilerplate provisions including notices, amendments, and assignment
1. Best Execution: Required if the manager executes trades - details of best execution policy
2. Custody Arrangements: Required if custody services are included or if specific custody requirements exist
3. Foreign Account Tax Compliance: Required for US clients or when FATCA compliance is relevant
4. Electronic Communications: Optional section for agreements where electronic communication is primary
5. Proxy Voting: Required if the manager will handle proxy voting rights
6. Sub-Advisory Arrangements: Required if sub-managers may be appointed
7. Special Investment Provisions: Required for specific investment types (e.g., derivatives, alternative investments)
8. Joint Account Provisions: Required for joint account holders
1. Investment Guidelines and Restrictions: Detailed investment parameters, restrictions, and eligible investments
2. Fee Schedule: Detailed breakdown of all fees, charges, and calculation methodologies
3. Risk Profile Questionnaire: Client's completed risk profile assessment
4. Authorized Persons: List of persons authorized to give instructions on behalf of the client
5. FINMA Client Information Sheet: Mandatory regulatory information sheet as required by FINMA
6. Execution Policy: Details of the manager's execution policy and arrangements
7. Conflicts of Interest Policy: Detailed policy on managing conflicts of interest
8. Data Protection Notice: Detailed information about data processing and client rights
Authors
Affiliate
Agreement
Applicable Law
Asset Class
Authorized Person
Banking Day
Benchmark
Best Execution
Business Day
Client
Client Assets
Client Classification
Collective Investment Schemes
Confidential Information
Conflicts of Interest
Custodian
Custody Account
Discretionary Mandate
Effective Date
Eligible Investments
FINMA
FinSA/FIDLEG
FinIA/FINIG
Financial Instruments
Force Majeure
Investment Guidelines
Investment Objectives
Investment Policy
Investment Restrictions
Investment Strategy
Investment Universe
Key Information Document
Management Fee
Market Value
Performance Fee
Performance Period
Portfolio
Professional Client
Regulatory Authority
Related Party
Reporting Currency
Retail Client
Risk Profile
Securities
Services
Sub-Manager
Swiss Banking Day
Term
Transaction
Valuation Date
Voting Rights
Authority
Investment Strategy
Investment Guidelines
Investment Restrictions
Client Classification
Risk Disclosure
Fee Structure
Performance Measurement
Reporting
Best Execution
Conflicts of Interest
Custody
Client Assets
Representations and Warranties
Liability
Indemnification
Termination
Force Majeure
Confidentiality
Banking Secrecy
Data Protection
Anti-Money Laundering
Client Identification
Documentation Requirements
Regulatory Compliance
Sub-Delegation
Assignment
Amendment
Notice
Electronic Communication
Governing Law
Jurisdiction
Dispute Resolution
Severability
Entire Agreement
Language
Counterparts
Financial Services
Banking
Asset Management
Wealth Management
Investment Management
Private Banking
Insurance
Pension Fund Management
Family Office Services
Corporate Treasury
Fund Management
Investment Advisory
Legal
Compliance
Investment Management
Portfolio Management
Risk Management
Client Relations
Operations
Finance
Due Diligence
Product Development
Investment Strategy
Wealth Management
Private Banking
Chief Investment Officer
Portfolio Manager
Investment Manager
Wealth Manager
Relationship Manager
Compliance Officer
Legal Counsel
Risk Manager
Investment Advisor
Client Relationship Manager
Head of Asset Management
Private Banker
Investment Strategist
Financial Controller
Operations Manager
Due Diligence Officer
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