The Asset Management Agreement is a fundamental document used in the Swiss financial services industry to establish and regulate the relationship between professional asset managers and their clients. It is required when a client delegates investment authority to a licensed asset manager under Swiss law. The agreement must comply with the strict regulatory framework established by FinSA and FinIA, which came into effect in 2020, introducing enhanced client protection measures and organizational requirements for asset managers. This document is essential for both institutional and private client relationships, incorporating mandatory regulatory elements such as client classification, risk disclosures, and detailed service specifications. It should be used whenever a Swiss-regulated asset manager takes on new clients for discretionary investment management services.
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1. Parties: Identification of the asset manager and the client, including regulatory status and client classification
2. Background: Context of the agreement and confirmation of client classification under FinSA
3. Definitions: Key terms used throughout the agreement
4. Scope of Services: Detailed description of asset management services, investment strategy, and any restrictions
5. Authority and Client Instructions: Extent of discretionary authority granted to the asset manager and process for client instructions
6. Investment Guidelines: Agreed investment strategy, restrictions, and risk profile
7. Duties and Responsibilities: Obligations of both parties, including the asset manager's fiduciary duties
8. Fees and Charges: Management fees, transaction costs, and other charges
9. Reporting and Valuations: Frequency and content of portfolio reports and valuation methods
10. Risk Disclosures: Mandatory risk warnings and acknowledgments required under FinSA
11. Conflicts of Interest: Disclosure and management of potential conflicts
12. Duration and Termination: Term of agreement and termination provisions
13. Liability and Indemnification: Extent of asset manager's liability and indemnification provisions
14. Confidentiality: Protection of client information and banking secrecy obligations
15. Final Provisions: Governing law, jurisdiction, and amendment procedures
1. Custody Arrangements: Required if the asset manager provides custody services or has specific arrangements with custodian banks
2. Foreign Account Regulations: Required for international clients, covering FATCA, CRS, and other international reporting requirements
3. Electronic Communications: Optional section for clients agreeing to electronic delivery of documents and communications
4. Portfolio Manager Delegation: Required if sub-managers or delegates may be appointed
5. Special Investment Provisions: Required for specialized investment strategies or specific asset classes
6. Group Company Services: Required when services may be provided by affiliated companies
7. Client Representations: Additional representations for specific client types (e.g., institutional clients)
1. Investment Guidelines and Restrictions: Detailed investment parameters, restrictions, and benchmarks
2. Fee Schedule: Detailed breakdown of all fees, charges, and calculation methods
3. Risk Profile Questionnaire: Client's completed risk profile assessment
4. Authorized Persons: List of persons authorized to give instructions on behalf of the client
5. Custody Account Details: Details of custody accounts covered by the agreement
6. Pre-contractual Information: FinSA-required pre-contractual disclosures and information
7. Execution Policy: Details of the asset manager's execution policy and arrangements
8. Data Protection Notice: Detailed privacy policy and data protection information
Authors
Relevant legal definitions
Clauses
Relevant Industries
Financial Services
Banking
Asset Management
Wealth Management
Investment Management
Private Banking
Insurance
Pension Funds
Family Offices
Trust Services
Relevant Teams
Legal
Compliance
Asset Management
Portfolio Management
Client Services
Risk Management
Operations
Investment Committee
Regulatory Affairs
Client Onboarding
Due Diligence
Investment Advisory
Product Development
Documentation
Relevant Roles
Asset Manager
Portfolio Manager
Compliance Officer
Legal Counsel
Relationship Manager
Investment Advisor
Risk Manager
Client Services Manager
Operations Manager
Investment Committee Member
Chief Investment Officer
Head of Asset Management
Regulatory Affairs Officer
Due Diligence Officer
Client Onboarding Specialist
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