The Discretionary Investment Management Agreement is a crucial document used in the Philippine financial services industry when a client wishes to delegate investment decision-making authority to a professional investment manager. It is required by the Securities and Exchange Commission of the Philippines and must comply with the Securities Regulation Code (Republic Act No. 8799) and its implementing rules. The agreement covers essential aspects such as investment powers, strategies, risk disclosures, fees, and reporting requirements, while incorporating specific Philippine regulatory requirements for client protection and investment management services. This document is particularly important for financial institutions offering discretionary investment management services to high-net-worth individuals, corporations, and institutional clients in the Philippines.
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1. Parties: Identifies the investment manager and the client, including their complete legal names and addresses
2. Background: Sets out the context of the agreement, including the manager's regulatory status and the client's desire to appoint the manager
3. Definitions: Defines key terms used throughout the agreement
4. Appointment and Authority: Formal appointment of the investment manager and scope of discretionary authority
5. Investment Objectives and Strategy: Details of the agreed investment objectives, strategy, and any investment restrictions
6. Investment Powers and Restrictions: Specific powers granted to the manager and any limitations on those powers
7. Custody Arrangements: Details of custody arrangements for client assets
8. Fees and Expenses: Complete fee structure, including management fees, transaction costs, and other expenses
9. Reporting and Valuations: Requirements for periodic reporting, performance measurement, and portfolio valuations
10. Risk Disclosures: Mandatory risk warnings and disclosures as required by Philippine regulations
11. Representations and Warranties: Standard representations and warranties from both parties
12. Liability and Indemnification: Scope of manager's liability and mutual indemnification provisions
13. Confidentiality: Confidentiality obligations and permitted disclosures
14. Termination: Termination provisions, notice periods, and post-termination procedures
15. General Provisions: Standard boilerplate clauses including governing law, notices, amendments, etc.
1. Client Classification: Section classifying the client as retail/professional/institutional - required if dealing with multiple client types
2. Foreign Investment Provisions: Additional provisions for foreign investments - required if overseas investments are contemplated
3. Electronic Communications: Specific provisions for electronic trading and communications - needed for digital service delivery
4. Multiple Account Provisions: Additional provisions for clients with multiple accounts or portfolios
5. Tax Considerations: Specific tax-related provisions - needed for complex tax situations or international clients
6. ESG Investment Criteria: Environmental, Social and Governance investment criteria - included if client requires ESG investment approach
7. Joint Account Provisions: Additional provisions for joint account holders - required for joint accounts
1. Investment Policy Statement: Detailed investment objectives, strategy, asset allocation, and investment restrictions
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 as required by Philippine regulations
5. Account Opening Forms: Required account opening documentation and know-your-client information
6. Custody Agreement: Details of custody arrangements if separate from main agreement
7. Trading Authorization: Specific trading authorizations and limitations
8. Reporting Templates: Templates for periodic reports and performance measurements
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