The Request For Proposal Asset Management document is a critical instrument used by organizations seeking professional investment management services in Hong Kong. It is typically employed when institutions need to appoint new asset managers, review existing mandates, or establish new investment programs. The document must comply with Hong Kong Securities and Futures Commission (SFC) requirements and typically includes comprehensive sections covering investment objectives, scope of services, regulatory compliance requirements, risk management expectations, and operational capabilities. It serves as both a solicitation tool and a preliminary framework for the eventual investment management agreement, ensuring that all proposals received are comparable and meet the organization's specific requirements while adhering to Hong Kong's regulatory standards.
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1. Introduction: Overview of the organization issuing the RFP and high-level purpose of the request
2. Background: Detailed context of the investment mandate, current situation, and objectives
3. Definitions: Key terms used throughout the RFP document
4. Scope of Services: Detailed description of the asset management services required, including asset classes, investment strategies, and mandate size
5. Minimum Requirements: Mandatory qualifications, licenses, and prerequisites for potential respondents
6. Response Requirements: Format, structure, and content requirements for RFP responses
7. Evaluation Criteria: Detailed breakdown of how proposals will be assessed and weighted
8. Timeline and Process: Key dates, deadlines, and process steps for the RFP
9. Terms and Conditions: Legal terms governing the RFP process
10. Submission Instructions: Detailed instructions for proposal submission, including format, deadline, and contact information
1. Current Portfolio Overview: Include when the RFP relates to existing assets requiring management
2. ESG Requirements: Include when specific environmental, social, and governance criteria are part of the mandate
3. Technology Requirements: Include when specific technological capabilities or reporting systems are required
4. Transition Services: Include when the mandate involves transitioning assets from existing managers
5. Fee Structure Guidelines: Include when specific fee structures or limits need to be prescribed
6. Local Presence Requirements: Include when specific requirements for Hong Kong presence or operations exist
1. Schedule A - Questionnaire: Detailed questionnaire covering firm background, investment process, risk management, and other key areas
2. Schedule B - Performance Requirements: Detailed performance reporting requirements and templates
3. Schedule C - Compliance Requirements: Regulatory and compliance requirements specific to Hong Kong
4. Schedule D - Due Diligence Requirements: Documentation and information required for due diligence process
5. Schedule E - Fee Template: Standardized template for fee proposals
6. Appendix 1 - Investment Guidelines: Detailed investment guidelines and restrictions
7. Appendix 2 - Service Level Requirements: Detailed service level expectations and metrics
8. Appendix 3 - Required Forms: Standard forms and declarations required for submission
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