The Investment Advisory Agreement serves as the primary contractual document between licensed investment advisors and their clients in Malta, establishing the framework for providing professional investment advice and related services. This agreement is essential for compliance with the Investment Services Act (Chapter 370 of the Laws of Malta) and MFSA requirements, while also incorporating EU MiFID II obligations. It details the scope of advisory services, client classification, fee structures, risk disclosures, and regulatory protections. The document is particularly crucial in Malta's growing financial services sector, where investment advisors must maintain strict compliance with both local and EU regulatory requirements while providing transparent and professional services to various types of clients.
Investment Advisory Agreement for Malta
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Key Requirements PROMPT example:
Investment Advisory Agreement
"I need an Investment Advisory Agreement for my Malta-based boutique investment firm to provide services to high-net-worth retail clients from March 2025, with specific provisions for online portfolio monitoring and quarterly review meetings."
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1. Parties: Identification of the investment advisor and the client, including regulatory status and contact details
2. Background: Context of the agreement and brief description of the services to be provided
3. Definitions and Interpretation: Definitions of key terms and interpretation rules
4. Appointment and Scope of Services: Formal appointment and detailed description of investment advisory services
5. Regulatory Status and Compliance: Advisor's regulatory status, licenses, and compliance commitments
6. Client Classification: Classification of client (retail/professional) and associated protections
7. Duties and Responsibilities: Detailed obligations of the advisor and the client
8. Investment Process and Restrictions: Description of the advisory process and any investment restrictions
9. Fees and Payments: Fee structure, calculation methods, and payment terms
10. Risk Disclosures: Mandatory risk warnings and disclosures
11. Conflicts of Interest: Disclosure and management of potential conflicts
12. Confidentiality and Data Protection: Confidentiality obligations and GDPR compliance
13. Communications: Methods and requirements for formal communications
14. Term and Termination: Duration of agreement and termination provisions
15. Liability and Indemnification: Limitation of liability and indemnification provisions
16. General Provisions: Standard boilerplate clauses including governing law, jurisdiction, etc.
1. Online Services: Terms for access and use of any online platforms or tools
2. Portfolio Review and Reporting: Additional provisions for ongoing portfolio review services
3. Research Services: Terms for providing investment research if offered
4. Multiple Jurisdiction Compliance: Additional provisions for cross-border services
5. Representatives and Agents: Terms for dealing with client's authorized representatives
6. Best Execution: Required for hybrid services involving execution
7. Force Majeure: Provisions for extraordinary events affecting service delivery
8. Additional Services: Terms for any supplementary services beyond pure advisory
1. Schedule 1: Fee Schedule: Detailed breakdown of all fees, charges, and calculation methods
2. Schedule 2: Investment Mandate: Detailed investment objectives, strategy, and restrictions
3. Schedule 3: Risk Disclosure Statement: Comprehensive risk warnings and acknowledgments
4. Schedule 4: Client Information Form: KYC information and investment profiling
5. Schedule 5: Authorized Persons: List of persons authorized to give instructions
6. Appendix A: Regulatory Disclosures: Required disclosures under Maltese law and MiFID II
7. Appendix B: Service Level Agreement: Detailed service standards and response times
8. Appendix C: Data Protection Notice: Detailed GDPR compliance information and consents
Authors
Relevant legal definitions
Clauses
Relevant Industries
Financial Services
Investment Management
Wealth Management
Banking
Insurance
Pension Services
Corporate Services
Trust Services
Family Office Services
Professional Services
Investment Advisory
Relevant Teams
Legal
Compliance
Risk Management
Investment Advisory
Client Relations
Operations
Finance
Business Development
Investment Management
Wealth Management
Portfolio Management
Relevant Roles
Investment Advisor
Compliance Officer
Legal Counsel
Risk Manager
Financial Controller
Client Relationship Manager
Portfolio Manager
Investment Director
Wealth Manager
Operations Manager
Chief Investment Officer
Chief Compliance Officer
Chief Legal Officer
Business Development Manager
Financial Services Director
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