The Investment Advisory Agreement serves as the foundational document establishing the professional relationship between investment advisors and their clients in Canada. This agreement is essential for any investment advisor or firm providing investment advisory services under Canadian securities regulations, whether to individual or institutional clients. It must comply with federal and provincial securities laws, particularly National Instrument 31-103 and provincial Securities Acts, while addressing crucial aspects such as advisor registration, service scope, fee structures, fiduciary duties, and risk disclosures. The agreement typically includes detailed provisions for investment strategy implementation, performance reporting, conflict management, and client communication protocols, making it suitable for various investment advisory relationships ranging from individual wealth management to institutional portfolio management.
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1. Parties: Identification of the investment advisor and the client, including full legal names and addresses
2. Background: Context of the agreement, advisor's registration status, and general purpose of the relationship
3. Definitions: Key terms used throughout the agreement, including 'Investment Policy Statement', 'Portfolio', 'Securities', and regulatory terms
4. Appointment and Authority: Formal appointment of the advisor and scope of authority granted
5. Services Provided: Detailed description of investment advisory services to be provided
6. Investment Policy and Restrictions: Overview of investment approach, restrictions, and reference to Investment Policy Statement
7. Fees and Expenses: Comprehensive fee structure, calculation methods, and payment terms
8. Representations and Warranties: Standard representations from both parties, including advisor's registration status and client's authority
9. Risk Acknowledgment: Disclosure of investment risks and client acknowledgment
10. Reporting and Communications: Required reports, frequency of communications, and account reviews
11. Confidentiality: Protection of client information and compliance with privacy laws
12. Standard of Care: Advisor's fiduciary duties and standard of care obligations
13. Termination: Conditions and process for terminating the agreement
14. Dispute Resolution: Process for handling disputes and applicable jurisdiction
15. General Provisions: Standard clauses including amendments, assignment, and notices
1. Custody Arrangements: Required when the advisor doesn't have direct custody and a third-party custodian is involved
2. Proxy Voting: Include when the advisor will have authority to vote proxies on behalf of the client
3. Sub-Advisor Provisions: Required when the advisor may engage sub-advisors to manage portions of the portfolio
4. Performance Fee Structure: Include for sophisticated clients where performance-based fees are permitted
5. Foreign Account Provisions: Required for non-Canadian clients or investments in foreign securities
6. Discretionary Authority: Include when the advisor has discretionary trading authority
7. Margin Account Provisions: Required if margin trading will be permitted
1. Schedule A - Fee Schedule: Detailed breakdown of all fees, calculations, and payment terms
2. Schedule B - Investment Policy Statement: Comprehensive investment guidelines, objectives, and restrictions
3. Schedule C - Authorized Persons: List of individuals authorized to give instructions on behalf of the client
4. Schedule D - Services Description: Detailed description of all services included and excluded
5. Schedule E - Risk Disclosure Statement: Comprehensive risk disclosures required by regulations
6. Appendix 1 - Account Opening Forms: Required regulatory documentation and client information forms
7. Appendix 2 - Conflict of Interest Disclosure: Required regulatory disclosures regarding potential conflicts
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