The Stock Management Agreement is a crucial document used when establishing a professional investment management relationship under Maltese law. It is typically employed when an individual or corporate client wishes to delegate the management of their stock portfolio to a licensed investment manager in Malta. The agreement must comply with the Malta Financial Services Authority (MFSA) requirements, relevant EU directives, and local financial services laws. It outlines comprehensive terms including investment strategies, risk parameters, reporting obligations, fee structures, and regulatory compliance requirements. This document is particularly important in Malta's growing financial services sector, where many international clients seek investment management services under a robust EU-compliant regulatory framework. The agreement serves as both a regulatory requirement and a protective mechanism for all parties involved in the investment management relationship.
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1. Parties: Identification of the parties entering into the agreement, including the stock manager and the client
2. Background: Context of the agreement and brief description of the parties' intentions
3. Definitions: Detailed definitions of terms used throughout the agreement
4. Appointment and Scope: Formal appointment of the stock manager and detailed scope of services to be provided
5. Authority and Powers: Extent of the stock manager's authority to act on behalf of the client
6. Investment Guidelines: Specific guidelines and restrictions for managing the stock portfolio
7. Duties and Responsibilities: Detailed obligations of both the stock manager and the client
8. Compliance Requirements: Regulatory compliance obligations under Maltese and EU law
9. Reporting and Valuations: Requirements for periodic reporting, performance updates, and portfolio valuations
10. Fees and Expenses: Detailed fee structure, payment terms, and allowable expenses
11. Risk Disclosures: Mandatory risk warnings and acknowledgments
12. Representations and Warranties: Standard and specific representations made by both parties
13. Confidentiality: Provisions regarding the handling of confidential information
14. Term and Termination: Duration of the agreement and circumstances for termination
15. Liability and Indemnification: Extent of liability and indemnification obligations
16. Governing Law and Jurisdiction: Confirmation of Maltese law as governing law and jurisdiction for disputes
1. Anti-Money Laundering Provisions: Additional AML compliance requirements when dealing with high-risk clients or jurisdictions
2. Custody Arrangements: Details of custody arrangements if the manager also provides custody services
3. Electronic Trading Provisions: Specific provisions for electronic trading platforms and systems when applicable
4. Research Services: Terms regarding the provision of research services if included in the arrangement
5. Sub-Manager Arrangements: Provisions for appointing and managing sub-managers if permitted
6. Force Majeure: Provisions dealing with extraordinary events and circumstances
7. Data Protection: Additional GDPR compliance provisions for clients with EU presence
8. Sustainable Finance Disclosures: ESG-related provisions when managing sustainable investments
1. Schedule 1 - Investment Guidelines: Detailed investment parameters, restrictions, and benchmarks
2. Schedule 2 - Fee Schedule: Comprehensive breakdown of management fees, performance fees, and other charges
3. Schedule 3 - Reporting Requirements: Specific format and frequency of reports to be provided
4. Schedule 4 - Authorized Persons: List of individuals authorized to give instructions on behalf of the client
5. Schedule 5 - Risk Disclosure Statement: Detailed risk warnings and disclosures required by Maltese law
6. Appendix A - Account Opening Forms: Required documentation for regulatory compliance
7. Appendix B - Custody Terms: Detailed terms for custody services if applicable
8. Appendix C - Electronic Trading Terms: Terms and conditions for electronic trading facilities if provided
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