The Discretionary Investment Management Agreement is essential when a client wishes to delegate investment decisions to a professional manager in the UK. This agreement, governed by English and Welsh law, establishes the manager's authority to make investment decisions without prior client approval, within agreed parameters. It must comply with FCA regulations, FSMA 2000, and MiFID II implementation in UK law. The document covers investment strategy, risk management, fees, reporting, and regulatory requirements, providing clarity and protection for both parties while ensuring regulatory compliance.
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1. Parties: Identification of the investment manager and the client, including registered addresses and company numbers
2. Background: Context of the agreement and basic premises, including regulatory status of the investment manager
3. Definitions: Key terms used throughout the agreement including regulatory and investment-specific definitions under FSMA, MiFID II, and other applicable regulations
4. Appointment and Authority: Scope of discretionary authority granted to the manager under FSMA and FCA regulations
5. Investment Objectives and Restrictions: Agreed investment strategy, risk profile, and restrictions in compliance with COBS rules
6. Services: Detailed description of regulated services to be provided under FSMA and related regulations
7. Fees and Charges: Management fees, transaction costs, and other charges with full disclosure as required by FCA rules
8. Reporting and Valuations: Frequency and content of reports and valuations as required by COBS
9. Representations and Warranties: Standard declarations including regulatory status, compliance with AML regulations, and data protection laws
10. Termination: Circumstances and process for ending the agreement in compliance with FCA requirements
1. Custody Arrangements: Details of custody services if provided, compliance with CASS rules
2. Delegation: Terms for delegating investment management functions under FCA requirements
3. Corporate Actions: Handling of corporate actions and voting rights in compliance with SRD II
4. Best Execution: Details of best execution policy as required by MiFID II/UK MiFIR
1. Investment Guidelines: Detailed investment restrictions and guidelines aligned with FCA requirements
2. Fee Schedule: Detailed breakdown of all fees and charges as required by MiFID II cost disclosure rules
3. Risk Warnings: Mandatory risk disclosures required by COBS
4. Authorized Persons: List of persons authorized to give instructions with requirements under MAR
5. Custody Terms: Detailed custody terms if applicable under CASS rules
6. Best Execution Policy: Firm's execution policy as required by MiFID II/UK MiFIR
7. Conflicts of Interest Policy: Summary of firm's conflicts policy as required by FCA rules
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