The Financial Management Agreement serves as the foundational document for establishing a professional investment management relationship in the United States. It is essential when engaging a financial manager to handle investment decisions, portfolio management, and related financial services. The agreement must comply with SEC regulations, state securities laws, and fiduciary duty requirements. It typically includes detailed provisions on investment authority, risk disclosures, fee structures, and reporting obligations, while protecting both parties' interests and establishing clear operational parameters.
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1. Parties: Identifies the financial manager/advisor and the client, including full legal names and addresses
2. Background: Establishes the context of the agreement and the client's desire to engage the manager's services
3. Definitions: Defines key terms used throughout the agreement
4. Scope of Services: Details the specific financial management services to be provided
5. Authority and Discretion: Outlines the manager's authority to make investment decisions
6. Fees and Compensation: Specifies management fees, fee calculation methods, and payment terms
7. Representations and Warranties: Standard declarations from both parties about their capacity and authority
8. Term and Termination: Duration of the agreement and termination provisions
1. Custody Arrangements: Details about third-party custodian arrangements when assets are held by a third-party custodian
2. Performance Reporting: Specifics about performance measurement and reporting for sophisticated reporting requirements
3. Risk Disclosure: Detailed risk warnings and acknowledgments for complex investment strategies
4. Sub-Advisory Arrangements: Provisions for engaging sub-advisors when third-party expertise is required
1. Investment Policy Statement: Details investment objectives, constraints, and guidelines
2. Fee Schedule: Detailed breakdown of all fees and charges
3. Risk Profile Assessment: Client's risk tolerance evaluation
4. Authorized Persons: List of individuals authorized to give instructions
5. Privacy Policy: Detailed privacy and data protection policies
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