The Financial Management Agreement serves as the primary contractual framework for establishing and governing the relationship between licensed financial service providers and their clients in South Africa. This agreement is essential when a financial services provider undertakes to manage financial assets, provide investment advice, or offer comprehensive financial management services to clients. It must comply with the Financial Advisory and Intermediary Services (FAIS) Act, the Financial Sector Regulation Act, and other relevant South African legislation. The document typically includes detailed provisions on service scope, fee structures, risk management, reporting requirements, and regulatory compliance obligations. It's particularly crucial for ensuring clear understanding of responsibilities, risk allocation, and service expectations while maintaining compliance with South African financial services regulations.
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1. Parties: Identification of the Financial Services Provider and the Client, including registration numbers and FSCA license details
2. Background: Context of the agreement, brief description of the services to be provided, and confirmation of the FSP's authority to provide such services
3. Definitions: Comprehensive list of defined terms used throughout the agreement, including regulatory and financial terms
4. Appointment and Scope of Services: Detailed description of financial management services to be provided and terms of appointment
5. Duration and Termination: Term of the agreement, renewal provisions, and circumstances for termination
6. Financial Service Provider's Obligations: Detailed responsibilities including reporting, compliance with regulations, and service standards
7. Client's Obligations: Client responsibilities including information provision, cooperation, and compliance with instructions
8. Fees and Payment Terms: Comprehensive fee structure, payment schedule, and expense arrangements
9. Risk Disclosures: Mandatory risk warnings and disclosures as required by FAIS Act
10. Confidentiality and Data Protection: Provisions for handling confidential information and compliance with POPIA
11. Compliance and Regulatory Matters: Compliance with applicable laws, reporting requirements, and regulatory obligations
12. Liability and Indemnification: Limitation of liability provisions and mutual indemnifications
13. Dispute Resolution: Process for handling disputes, including mediation and arbitration procedures
14. General Provisions: Standard clauses including notices, entire agreement, variation, and governing law
1. Investment Policy Statement: Detailed investment strategy and policies - required when agreement includes investment management services
2. Foreign Exchange Services: Terms for foreign exchange transactions - needed when dealing with international investments
3. Delegation and Sub-contracting: Terms for delegation of services to third parties - include when external service providers may be involved
4. Portfolio Management: Specific terms for portfolio management services - required for discretionary investment management
5. Online Services and Digital Access: Terms for digital platform access and usage - include when offering online services
6. Group Structure Provisions: Additional terms for corporate groups - required when client is part of a corporate group
7. Tax Considerations: Specific tax-related provisions - include when tax advisory services are part of the scope
1. Schedule 1: Fee Schedule: Detailed breakdown of all fees, charges, and commission structures
2. Schedule 2: Scope of Services: Comprehensive list of specific services to be provided under the agreement
3. Schedule 3: Authorized Representatives: List of authorized personnel from both parties who may give instructions or make decisions
4. Schedule 4: Reporting Requirements: Details of required reports, their frequency, and content
5. Schedule 5: Investment Guidelines: Specific investment parameters, restrictions, and guidelines
6. Appendix A: Risk Disclosure Statement: Detailed risk disclosures as required by FAIS Act
7. Appendix B: Compliance Documentation: Copies of relevant licenses, registrations, and compliance certificates
8. Appendix C: Service Level Agreement: Detailed service standards and performance metrics
Relevant legal definitions
Clauses
Relevant Industries
Financial Services
Banking
Insurance
Investment Management
Wealth Management
Private Equity
Corporate Services
Professional Services
Asset Management
Trust Services
Family Office Services
Relevant Teams
Legal
Compliance
Finance
Risk Management
Investment
Wealth Management
Client Services
Operations
Corporate Advisory
Portfolio Management
Relevant Roles
Chief Financial Officer
Financial Director
Investment Manager
Wealth Manager
Financial Advisor
Compliance Officer
Risk Manager
Portfolio Manager
Trust Administrator
Legal Counsel
Financial Controller
Investment Consultant
Asset Manager
Client Relationship Manager
Operations Manager
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