Asset Management Contract

Asset Management Contract Template for Germany

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Key Requirements PROMPT example:

"I need an Asset Management Contract for a German pension fund client with specific ESG investment criteria, including quarterly reporting requirements and the ability to delegate certain management functions to specialized sub-managers, with the agreement to commence from March 1, 2025."

Document background

The Asset Management Contract serves as the primary legal framework for investment management relationships in Germany, establishing the terms under which a licensed asset manager provides professional investment services to clients. It is essential for both institutional and private wealth management relationships, ensuring compliance with German financial regulations including the KWG, KAGB, and WpHG, as well as EU directives such as MiFID II. The document is required when establishing discretionary investment management services and must include specific regulatory disclosures, investment guidelines, risk warnings, and reporting requirements mandated by BaFin (Federal Financial Supervisory Authority). This contract type is fundamental for any regulated asset management activity in Germany and forms the basis of the fiduciary relationship between the asset manager and client.

Suggested Sections

1. Parties: Identification of the asset manager and the client, including regulatory status and contact details

2. Background: Context of the agreement and confirmation of client classification under MiFID II

3. Definitions: Key terms used throughout the agreement, including investment-specific terminology

4. Appointment and Scope: Formal appointment of the asset manager and detailed scope of services

5. Investment Strategy and Guidelines: Agreed investment strategy, restrictions, and benchmarks

6. Authority and Client Instructions: Extent of discretionary authority and process for client instructions

7. Fees and Expenses: Management fees, performance fees, third-party costs, and payment terms

8. Reporting and Valuations: Frequency and content of reports, valuation methods

9. Risk Disclosures: Mandatory risk warnings and acknowledgments

10. Compliance and Anti-Money Laundering: Regulatory compliance obligations and AML requirements

11. Data Protection: GDPR compliance and data processing terms

12. Liability and Indemnification: Limitations of liability and indemnification provisions

13. Term and Termination: Duration, termination rights, and consequences of termination

14. Governing Law and Jurisdiction: Confirmation of German law and jurisdiction

Optional Sections

1. Custody Arrangements: Required if the asset manager arranges custody services

2. Investment Committee: Include if client requires an investment committee structure

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

4. Securities Lending: Required if securities lending is permitted

5. Sub-Advisory Arrangements: Include if sub-managers may be appointed

6. Special Investment Restrictions: Include for clients with specific investment restrictions (e.g., religious or ethical constraints)

7. Tax Reporting: Include for clients requiring specific tax reporting services

8. Foreign Account Provisions: Required for non-German clients or investments

Suggested Schedules

1. Investment Guidelines: Detailed investment parameters, restrictions, and benchmarks

2. Fee Schedule: Detailed breakdown of all fees and calculation methodologies

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

4. Reporting Requirements: Detailed specification of report contents and formats

5. Risk Disclosure Document: Comprehensive risk warnings as required by German law

6. Data Processing Agreement: Detailed GDPR-compliant data processing terms

7. Custody Agreement: If applicable, terms of custody services

8. Investment Process Description: Detailed description of the investment decision-making process

Authors

Alex Denne

Head of Growth (Open Source Law) @ tiktok��˰� | 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

Asset Management

Investment Management

Private Banking

Wealth Management

Insurance

Pension Funds

Corporate Banking

Investment Banking

Fund Management

Private Equity

Family Office Services

Relevant Teams

Legal

Compliance

Investment Management

Risk Management

Client Relations

Operations

Portfolio Administration

Investment Advisory

Wealth Management

Fund Administration

Client Services

Investment Strategy

Product Development

Due Diligence

Relevant Roles

Portfolio Manager

Investment Manager

Chief Investment Officer

Compliance Officer

Legal Counsel

Risk Manager

Relationship Manager

Client Advisor

Investment Director

Head of Asset Management

Investment Consultant

Wealth Manager

Fund Manager

Private Banker

Chief Financial Officer

Investment Committee Member

Operations Manager

Client Services Director

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Authors

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