The Mutual Fund Agreement serves as the foundational document for establishing and operating a mutual fund in the United States. This document is essential when creating a new mutual fund or restructuring an existing one, requiring compliance with the Investment Company Act of 1940, Securities Act of 1933, and other federal and state securities laws. It details crucial aspects such as investment strategies, risk management, fee structures, and governance procedures, while establishing the rights and responsibilities of all parties involved in the fund's operation. The agreement must be filed with the SEC and requires regular updates to reflect any material changes in the fund's operation or regulatory requirements.
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1. Parties: Identification of the fund company, investment advisor, and other key parties
2. Background: Purpose of the fund and general investment objectives
3. Definitions: Key terms used throughout the agreement
4. Investment Objectives and Policies: Detailed investment strategy and restrictions
5. Management and Administrative Services: Responsibilities of the investment advisor and administrators
6. Fees and Expenses: Management fees, operational costs, and expense ratios
7. Share Classes and Distribution: Types of shares offered and distribution arrangements
8. Redemption and Transfer Rights: Terms for redeeming and transferring fund shares
1. Securities Lending: Terms and conditions for securities lending activities when the fund engages in such practices
2. Derivatives Trading: Rules and procedures for derivative investments when the fund uses these instruments
3. Foreign Investment Provisions: Specific rules and procedures for international investments when the fund invests in foreign markets
1. Schedule A - Fee Structure: Detailed breakdown of all fees and charges
2. Schedule B - Investment Restrictions: Specific investment limitations and restrictions
3. Schedule C - Authorized Persons: List of authorized signatories and decision-makers
4. Appendix 1 - Risk Disclosures: Detailed risk factors and disclosures
5. Appendix 2 - Valuation Procedures: Methods for calculating NAV and asset valuation
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