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Investment Trust Contract

Investment Trust Contract Template for Switzerland

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Key Requirements PROMPT example:

Investment Trust Contract

"I need an Investment Trust Contract under Swiss law for a family trust structure with assets of 50 million CHF, focusing on ESG investments and sustainable portfolio management, to be established by March 2025."

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Document background
The Investment Trust Contract is a specialized legal instrument used in Switzerland to establish and govern investment trust arrangements. This document is essential when setting up a managed investment structure under Swiss law, particularly for high-net-worth individuals, families, or organizations seeking professional asset management through a trust structure. The contract addresses the specific requirements of Swiss financial regulations, including FINMA oversight, while incorporating international trust management principles recognized under the Hague Trust Convention. It details the roles and responsibilities of trustees, investment parameters, beneficiary rights, reporting requirements, and compliance obligations. This document type is particularly relevant given Switzerland's position as a global financial center and its sophisticated regulatory framework for investment and trust services.
Suggested Sections

1. Parties: Identifies and defines all parties to the agreement including the Trustee, Settlor, and Beneficiaries

2. Background: Sets out the context and purpose of the trust arrangement

3. Definitions and Interpretation: Defines key terms used throughout the agreement and establishes interpretation rules

4. Declaration of Trust: Formal establishment of the trust and transfer of initial assets

5. Trust Purpose and Duration: Specifies the purpose of the trust and its intended duration or termination conditions

6. Investment Powers and Restrictions: Details the trustee's investment powers and any restrictions on investment activities

7. Trustee Duties and Responsibilities: Comprehensive outline of trustee obligations, including compliance with Swiss regulations

8. Risk Disclosures: Mandatory disclosures of investment risks as required by Swiss financial regulations

9. Investment Strategy and Guidelines: Detailed investment parameters, asset allocation, and investment objectives

10. Distribution Rules: Rules governing distributions to beneficiaries

11. Fees and Expenses: Structure of fees, costs, and expense allocation

12. Reporting and Accountability: Requirements for financial reporting, auditing, and accountability measures

13. Amendment Provisions: Procedures for modifying the trust agreement

14. Termination Provisions: Conditions and procedures for trust termination

15. Governing Law and Jurisdiction: Confirms Swiss law governance and jurisdiction for disputes

Optional Sections

1. Protector Provisions: Include when a trust protector is appointed to oversee certain aspects of trust administration

2. Alternative Dispute Resolution: Optional mediation or arbitration procedures for dispute resolution

3. Force Majeure: Provisions for handling unforeseen circumstances affecting trust administration

4. Anti-Money Laundering Compliance: Detailed AML procedures when dealing with high-risk jurisdictions or complex structures

5. Environmental, Social and Governance (ESG) Investment Criteria: Include when specific ESG investment requirements are needed

6. Cross-Border Provisions: Include when trust involves multiple jurisdictions or international beneficiaries

7. Digital Assets Provisions: Include when trust may invest in or hold digital assets or cryptocurrencies

Suggested Schedules

1. Schedule 1: Initial Trust Assets: Detailed inventory of assets initially transferred to the trust

2. Schedule 2: Investment Guidelines: Detailed investment parameters, restrictions, and asset allocation guidelines

3. Schedule 3: Fee Schedule: Comprehensive breakdown of all fees, charges, and compensation structures

4. Schedule 4: Beneficiary Information: Details of beneficiaries and their respective interests or entitlements

5. Schedule 5: Reporting Requirements: Specific requirements for financial reporting and documentation

6. Appendix A: KYC Documentation Requirements: Required documentation for Know Your Customer compliance

7. Appendix B: Risk Disclosure Statement: Detailed statement of investment risks as required by Swiss regulations

8. Appendix C: Administrative Procedures: Operational procedures for trust administration

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
Agreement
Applicable Law
Assets Under Management
Authorized Investments
Beneficiary
Business Day
Confidential Information
Custodian
Distribution Date
Due Diligence
Effective Date
Eligible Assets
FINMA
Force Majeure Event
Initial Trust Fund
Investment Guidelines
Investment Manager
Investment Objectives
Investment Period
Investment Powers
Investment Strategy
Key Performance Indicators
Management Fee
Net Asset Value
Performance Fee
Portfolio
Principal Trust Fund
Protector
Qualified Investor
Regulated Market
Regulatory Requirements
Related Party
Reporting Currency
Restricted Person
Risk Profile
Securities
Settlor
Swiss Business Day
Swiss Law
Term of the Trust
Trust
Trust Deed
Trust Fund
Trust Period
Trust Property
Trustee
Trustee Powers
Valuation Date
Valuation Method
Vesting Date
Clauses
Trust Declaration
Investment Powers
Investment Restrictions
Trustee Appointment
Trustee Powers
Trustee Duties
Trustee Remuneration
Investment Management
Risk Management
Asset Custody
Distribution Powers
Beneficiary Rights
Protector Powers
Confidentiality
Data Protection
Reporting Requirements
Regulatory Compliance
Anti-Money Laundering
Fee Structure
Expenses
Liability and Indemnification
Conflict of Interest
Amendment
Termination
Force Majeure
Governing Law
Dispute Resolution
Notice Requirements
Assignment
Severability
Entire Agreement
Counterparts
Third Party Rights
Record Keeping
Audit Rights
Tax Compliance
Successor Trustee Provisions
Investment Strategy
Risk Disclosure
Valuation
Distribution Policy
Relevant Industries

Financial Services

Investment Management

Private Banking

Wealth Management

Asset Management

Trust Services

Family Office Services

Professional Services

Corporate Services

Private Equity

Relevant Teams

Legal

Compliance

Investment Management

Wealth Management

Risk Management

Trust Administration

Operations

Client Services

Financial Control

Regulatory Affairs

Relevant Roles

Trust Officer

Investment Manager

Wealth Manager

Compliance Officer

Legal Counsel

Financial Advisor

Risk Manager

Portfolio Manager

Trust Administrator

Private Client Advisor

Asset Manager

Financial Controller

Trust Operations Manager

Regulatory Compliance Manager

Investment Strategy Director

Industries
Swiss Civil Code (ZGB): Fundamental law governing legal relationships, including principles of good faith and legal personality that affect trust arrangements
Swiss Code of Obligations (OR): Regulates contract law and provides the legal framework for contractual relationships and obligations between parties
Federal Act on Financial Services (FinSA): Regulates the provision of financial services and offering of financial instruments, including requirements for investor protection
Federal Act on Financial Institutions (FinIA): Sets requirements for financial institutions and their supervision, including asset managers and trustees
Federal Act on Collective Investment Schemes (CISA): Governs the establishment, operation, and supervision of investment funds and collective investment schemes
Federal Act on Combating Money Laundering and Terrorist Financing (AMLA): Establishes due diligence obligations for financial intermediaries and requirements for preventing money laundering
Hague Convention on the Law Applicable to Trusts: International treaty ratified by Switzerland that provides rules for recognition and treatment of trusts under Swiss law
Swiss Financial Market Supervision Act (FINMASA): Establishes the framework for financial market supervision and the powers of FINMA (Swiss Financial Market Supervisory Authority)
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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