The Financial Management Agreement is essential for establishing professional financial management relationships under German law. It is typically used when a financial institution, asset manager, or investment firm undertakes to manage financial assets on behalf of clients, whether private individuals, corporations, or institutional investors. The agreement must comply with strict German regulatory requirements, including the Banking Act (KWG), Investment Code (KAGB), and Securities Trading Act (WpHG), as well as EU regulations such as MiFID II and GDPR. The document comprehensively covers investment guidelines, risk management, fee structures, reporting obligations, and regulatory compliance requirements, providing a robust legal framework for the financial management relationship while ensuring appropriate client protections under German law.
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1. Parties: Identification of the financial manager and the client, including their full legal names, addresses, and registration details
2. Background: Context of the agreement and brief description of the parties' intentions
3. Definitions: Definitions of key terms used throughout the agreement
4. Appointment and Scope of Services: Formal appointment of the financial manager and detailed description of services to be provided
5. Authority and Discretion: Extent of the financial manager's authority to act on behalf of the client
6. Investment Guidelines and Restrictions: Agreed-upon investment strategy, limitations, and risk parameters
7. Fees and Expenses: Detailed fee structure, calculation methods, and payment terms
8. Reporting and Communication: Frequency and content of reports, communication protocols
9. Representations and Warranties: Legal assertions made by both parties regarding their capacity and authority
10. Duties and Obligations: Specific responsibilities of both the financial manager and the client
11. Risk Disclosures: Mandatory risk warnings and acknowledgments as required by German law
12. Confidentiality and Data Protection: Obligations regarding confidential information and GDPR compliance
13. Term and Termination: Duration of the agreement and termination provisions
14. Liability and Indemnification: Extent of liability and indemnification obligations
15. Governing Law and Jurisdiction: Confirmation of German law application and jurisdiction
1. Custody Arrangements: Include when the financial manager provides or arranges custody services
2. Sub-Advisory Arrangements: Include when third-party managers or advisors are involved
3. Performance Fees: Include when performance-based compensation is part of the fee structure
4. Foreign Account Provisions: Include when managing non-German accounts or investments
5. Special Investment Strategies: Include when using complex financial instruments or strategies
6. Electronic Services: Include when providing online portfolio access or digital services
7. Sustainable Investment Criteria: Include when ESG or sustainable investment criteria are applied
1. Schedule 1 - Fee Schedule: Detailed breakdown of all fees, charges, and calculation methods
2. Schedule 2 - Investment Guidelines: Detailed investment strategy, asset allocation, and restrictions
3. Schedule 3 - Authorized Persons: List of individuals authorized to give instructions on behalf of the client
4. Schedule 4 - Reporting Requirements: Detailed specification of report contents and formats
5. Appendix A - Risk Disclosure Document: Comprehensive risk disclosures required by German regulations
6. Appendix B - Data Protection Notice: Detailed GDPR-compliant privacy notice and data processing terms
7. Appendix C - Regulatory Disclosures: Required disclosures under German financial regulations
8. Appendix D - Service Level Agreement: Detailed service standards and performance metrics
Relevant legal definitions
Clauses
Relevant Industries
Financial Services
Banking
Investment Management
Asset Management
Wealth Management
Private Banking
Corporate Finance
Pension Fund Management
Insurance
Family Office Services
Relevant Teams
Legal
Compliance
Investment Management
Portfolio Management
Risk Management
Client Services
Operations
Regulatory Affairs
Wealth Management
Asset Management
Trust Administration
Investment Advisory
Relevant Roles
Financial Manager
Investment Manager
Portfolio Manager
Compliance Officer
Legal Counsel
Risk Manager
Client Relationship Manager
Investment Advisor
Wealth Manager
Trust Officer
Operations Manager
Chief Investment Officer
Chief Financial Officer
Head of Asset Management
Regulatory Affairs Manager
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