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Money Management Contract

Money Management Contract Template for Hong Kong

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Key Requirements PROMPT example:

Money Management Contract

"I need a Money Management Contract for a Hong Kong-based family office managing assets exceeding HKD 500 million, with specific provisions for ESG investment restrictions and quarterly performance reporting requirements."

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Document background
The Money Management Contract serves as the foundational document for establishing a professional investment management relationship in Hong Kong's sophisticated financial market. It is essential for financial institutions, asset managers, and investment advisors who provide discretionary or non-discretionary investment management services to clients. The document must comply with Hong Kong's Securities and Futures Ordinance and related regulations enforced by the SFC, particularly regarding licensing requirements, client asset protection, and risk disclosures. This contract type is typically used when clients seek professional management of their investment portfolios, whether they are individual high-net-worth investors, corporate entities, or institutional clients. It encompasses crucial elements such as investment mandates, fee structures, reporting obligations, and risk management protocols, while addressing specific requirements for both professional and retail investors under Hong Kong law.
Suggested Sections

1. Parties: Identification of the money manager and the client, including licensing and registration details

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 money manager and scope of their authority

5. Investment Objectives and Strategy: Agreed investment objectives, risk profile, and investment strategy

6. Services and Obligations: Detailed description of services to be provided and obligations of the money manager

7. Client's Obligations: Responsibilities and obligations of the client

8. Fees and Expenses: Management fees, performance fees, and other charges

9. Reports and Valuations: Reporting obligations, frequency, and content of reports

10. Risk Disclosures: Mandatory risk warnings and acknowledgments

11. Representations and Warranties: Statements of fact and promises by both parties

12. Confidentiality: Protection and handling of confidential information

13. Conflicts of Interest: Disclosure and management of potential conflicts

14. Term and Termination: Duration of agreement and termination provisions

15. Indemnification: Mutual indemnities and limitations of liability

16. Governing Law and Jurisdiction: Choice of Hong Kong law and jurisdiction

Optional Sections

1. Professional Investor Status: Required when client qualifies as a Professional Investor under SFO

2. Delegation: Include when sub-managers or third-party service providers may be appointed

3. Online Access and Digital Services: Include when providing digital platform access

4. Tax Considerations: Include detailed tax provisions for complex structures or international clients

5. Joint Account Provisions: Required for joint account holders

6. Foreign Account Provisions: Include for compliance with foreign regulations (e.g., FATCA)

7. Soft Dollar Arrangements: Include if soft dollar benefits may be received

8. ESG Investment Criteria: Include if environmental, social, and governance criteria are part of the strategy

Suggested Schedules

1. Schedule 1: Fee Schedule: Detailed breakdown of all fees, charges, and calculation methods

2. Schedule 2: Investment Guidelines: Specific investment restrictions, limits, and permitted investments

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

4. Schedule 4: Risk Disclosure Statement: Detailed risk disclosures required by regulations

5. Schedule 5: Custody Arrangements: Details of custody arrangements if applicable

6. Appendix A: KYC Documentation: Client due diligence and know-your-client documentation

7. Appendix B: Investment Policy Statement: Detailed investment policy and strategy document

8. Appendix C: Reporting Templates: Format and content of regular client reports

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
Account
Affiliate
Agreement
Applicable Laws
Assets Under Management
Authorized Person
Business Day
Client
Confidential Information
Custodian
Effective Date
Eligible Investments
Fee Schedule
Force Majeure Event
Investment Guidelines
Investment Management Services
Investment Objectives
Investment Policy Statement
Investment Strategy
Management Fee
Market Value
Net Asset Value
Performance Fee
Performance Period
Portfolio
Professional Investor
Regulatory Authority
Related Party
Reporting Currency
Risk Profile
Securities
SFC
Sub-Manager
Term
Transaction
Valuation Date
Valuation Period
Clauses
Appointment
Authority
Investment Objectives
Investment Restrictions
Management Services
Custody
Fees and Expenses
Performance Calculation
Reporting
Risk Disclosure
Client Representations
Manager Representations
Confidentiality
Data Privacy
Conflicts of Interest
Anti-Money Laundering
Client Instructions
Delegation
Record Keeping
Valuations
Best Execution
Force Majeure
Termination
Assignment
Amendments
Notices
Governing Law
Dispute Resolution
Indemnification
Liability
Severability
Entire Agreement
Tax Compliance
Electronic Communications
Professional Investor Status
Relevant Industries

Asset Management

Private Banking

Wealth Management

Financial Services

Investment Advisory

Fund Management

Private Equity

Family Office Services

Trust Services

Corporate Banking

Securities Trading

Alternative Investments

Relevant Teams

Legal

Compliance

Risk Management

Investment Management

Client Services

Operations

Finance

Due Diligence

Portfolio Management

Relationship Management

Product Development

Investment Advisory

Relevant Roles

Investment Manager

Compliance Officer

Legal Counsel

Risk Manager

Portfolio Manager

Relationship Manager

Chief Investment Officer

Head of Asset Management

Investment Advisor

Wealth Manager

Trust Officer

Operations Manager

Client Services Manager

Due Diligence Officer

Financial Controller

Industries
Securities and Futures Ordinance (Cap. 571): The primary legislation governing financial products and services in Hong Kong, including licensing requirements for money managers and investment advisers
Anti-Money Laundering and Counter-Terrorist Financing Ordinance (Cap. 615): Mandates client due diligence and record-keeping requirements for financial institutions and money managers
Trustee Ordinance (Cap. 29): Governs the duties and obligations of trustees in managing assets on behalf of others
Contract Law (based on Common Law principles): Fundamental principles governing contract formation, terms, and enforcement in Hong Kong
Personal Data (Privacy) Ordinance (Cap. 486): Regulates the collection, handling, and protection of clients' personal data
Professional Investors Rules (under Cap. 571): Defines categories of professional investors and the modified requirements when dealing with them
Fund Manager Code of Conduct: SFC guidelines specifying conduct requirements for licensed fund managers and investment advisers
Companies Ordinance (Cap. 622): Relevant for corporate structure and governance if the money manager is a company
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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