The Asset Management Agreement is essential for establishing professional investment management relationships in Austria. It is used when a client delegates investment authority to a licensed asset manager to manage a portfolio of investments on a discretionary basis. The agreement must comply with Austrian financial regulations, particularly the Securities Supervision Act 2018 (WAG 2018), which implements MiFID II requirements, and other relevant legislation such as the Investment Fund Act and Financial Market Authority Act. This document is crucial for both retail and institutional clients, covering key aspects such as investment strategy, risk management, reporting obligations, fee structures, and regulatory compliance. It includes specific provisions required under Austrian law regarding client classification, risk disclosures, and investor protection measures.
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1. Parties: Identification of the asset manager and the client, including regulatory status and classifications
2. Background: Context of the agreement and general purpose of the asset management relationship
3. Definitions and Interpretation: Key terms used throughout the agreement and rules of interpretation
4. Appointment and Scope of Authority: Formal appointment of the asset manager and extent of discretionary authority
5. Investment Objectives and Strategy: Agreed investment objectives, strategy, and any restrictions
6. Services and Obligations: Detailed description of services to be provided and manager's obligations
7. Client's Obligations: Client's responsibilities, including information provision and compliance with regulations
8. Risk Disclosures: Mandatory risk warnings and acknowledgments required under Austrian law
9. Fees and Expenses: Management fees, performance fees, expenses, and payment terms
10. Reporting and Valuations: Reporting obligations, frequency, and valuation methodologies
11. Conflicts of Interest: Management of potential conflicts and related disclosures
12. Data Protection: GDPR compliance and data processing provisions
13. Term and Termination: Duration, termination rights, and consequences of termination
14. Liability and Indemnification: Extent of manager's liability and any indemnification provisions
15. General Provisions: Standard contractual provisions including notices, amendments, and governing law
1. Custody Arrangements: Required if the manager arranges custody services or interfaces with third-party custodians
2. Best Execution: Detailed best execution policy, mandatory for retail clients under WAG 2018
3. Portfolio Transfers: Include when existing portfolios are being transferred in
4. ESG Investment Criteria: Required when incorporating environmental, social, and governance investment criteria
5. Client Classification: Detailed section on client categorization, mandatory for retail clients
6. Sub-delegation: Include if the manager may delegate investment management functions
7. Research Costs: Required if research costs are to be charged separately from management fees
1. Investment Guidelines: Detailed investment restrictions, limits, and permitted instruments
2. Fee Schedule: Detailed breakdown of all fees, charges, and calculation methodologies
3. Authorized Persons: List of persons authorized to give instructions on behalf of the client
4. Risk Disclosure Statement: Detailed risk disclosures required under Austrian law
5. Reporting Templates: Format and content of periodic reports to be provided
6. Data Processing Appendix: Detailed GDPR-compliant data processing terms
7. Best Execution Policy: Detailed policy for achieving best execution for clients
8. Conflicts of Interest Policy: Detailed policy for managing conflicts of interest
Authors
Relevant legal definitions
Clauses
Relevant Industries
Financial Services
Asset Management
Investment Management
Banking
Insurance
Wealth Management
Private Banking
Fund Management
Institutional Investment
Corporate Treasury
Relevant Teams
Legal
Compliance
Investment Management
Risk Management
Client Services
Operations
Finance
Portfolio Administration
Due Diligence
Product Development
Relevant Roles
Asset Manager
Portfolio Manager
Investment Director
Chief Investment Officer
Compliance Officer
Legal Counsel
Risk Manager
Client Relationship Manager
Investment Advisor
Operations Manager
Fund Manager
Wealth Manager
Investment Consultant
Financial Controller
Due Diligence Officer
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