The Stock Management Agreement serves as a crucial legal framework for establishing professional stock management services in the Philippines. It is typically used when companies or individual investors seek to delegate the management and administration of their stock portfolios to professional service providers. The agreement encompasses essential elements required by Philippine law, including compliance with the Securities Regulation Code, SEC regulations, and relevant financial services legislation. This document is particularly important in the Philippine context where stock management must adhere to specific local regulatory requirements, foreign ownership restrictions, and market-specific practices. The agreement details the scope of services, fee structures, reporting obligations, risk management procedures, and the respective rights and obligations of both the service provider and the client, while ensuring alignment with Philippine corporate governance standards and securities regulations.
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1. Parties: Identification of the parties entering into the agreement, including the stock management service provider and the company/stockholder
2. Background: Context of the agreement, including the company's desire to engage stock management services
3. Definitions: Definitions of key terms used throughout the agreement
4. Appointment and Scope of Services: Formal appointment of the stock manager and detailed description of services to be provided
5. Duration and Term: Period of the agreement, including commencement date and renewal terms
6. Duties and Responsibilities: Detailed obligations of the stock manager, including reporting, record-keeping, and compliance requirements
7. Fees and Payment Terms: Compensation structure, payment schedule, and related financial terms
8. Representations and Warranties: Statements of fact and assurances from both parties
9. Confidentiality: Provisions regarding the protection of confidential information
10. Compliance with Laws: Obligation to comply with relevant Philippine laws and regulations
11. Termination: Circumstances and procedures for ending the agreement
12. Liability and Indemnification: Allocation of risks and responsibilities between parties
13. Governing Law and Jurisdiction: Specification of Philippine law as governing law and jurisdiction for disputes
14. Notices: Procedures for formal communications between parties
15. General Provisions: Standard boilerplate clauses including severability, entire agreement, and amendments
1. Electronic Trading Services: Include when the agreement covers online trading platforms or electronic stock management systems
2. Foreign Ownership Restrictions: Include when dealing with stocks subject to foreign ownership limitations under Philippine law
3. Multiple Account Management: Include when the service provider will manage multiple stock accounts or portfolios
4. Performance Metrics: Include when specific performance standards or KPIs are part of the agreement
5. Disaster Recovery: Include when specific business continuity and disaster recovery procedures are required
6. Anti-Money Laundering Provisions: Include detailed AML procedures when dealing with high-risk clients or large transactions
7. Investment Guidelines: Include when specific investment restrictions or guidelines apply to stock management
1. Schedule A - Fee Structure: Detailed breakdown of all fees, charges, and commission structures
2. Schedule B - Service Level Agreement: Specific performance standards and service levels to be maintained
3. Schedule C - Authorized Representatives: List of authorized persons who can give instructions or act on behalf of each party
4. Schedule D - Reporting Requirements: Templates and specifications for required reports and their frequency
5. Schedule E - Stock Portfolio Details: Initial list of stocks or portfolios to be managed under the agreement
6. Appendix 1 - Compliance Procedures: Detailed procedures for ensuring compliance with Philippine securities regulations
7. Appendix 2 - Operating Procedures: Step-by-step procedures for routine stock management operations
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