The Investment Agency Agreement is a crucial legal document used in the Philippine financial services sector when establishing a formal relationship between an investment agent and a principal who wishes to delegate investment management authority. This agreement is particularly important in the context of Philippine financial regulations, where investment activities are strictly regulated under the Securities Regulation Code and related legislation. The document is essential when an investor (principal) wants to authorize a professional investment manager or firm (agent) to make investment decisions and execute transactions on their behalf. It typically includes comprehensive details about investment scope, authority limits, compliance requirements, risk management procedures, reporting obligations, and fee structures. The agreement must comply with Philippine laws regarding agency relationships, securities trading, and investment management, making it a fundamental tool for regulated investment activities in the Philippines.
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1. Parties: Identification of the Principal (investor) and the Agent (investment manager/firm), including complete legal names and addresses
2. Background: Context of the agreement, including the Principal's desire to appoint the Agent for investment services and the Agent's qualifications
3. Definitions: Key terms used throughout the agreement, including investment-related terminology and specific terms relevant to the agency relationship
4. Appointment and Scope: Formal appointment of the Agent and detailed scope of investment authority and services to be provided
5. Agent's Authority: Specific powers granted to the Agent, including investment limits, types of permitted investments, and decision-making authority
6. Agent's Duties and Responsibilities: Detailed obligations of the Agent, including reporting, due diligence, record-keeping, and compliance requirements
7. Principal's Duties and Responsibilities: Obligations of the Principal, including providing necessary information, funds, and cooperation
8. Fees and Compensation: Detailed fee structure, including management fees, performance fees, and payment terms
9. Representations and Warranties: Statements of fact and assurances from both parties regarding their capacity, authority, and compliance
10. Confidentiality: Provisions for protecting confidential information and trade secrets
11. Compliance with Laws: Obligations to comply with relevant Philippine laws, including securities regulations and anti-money laundering requirements
12. Term and Termination: Duration of the agreement and circumstances under which it can be terminated
13. Liability and Indemnification: Allocation of risks and responsibilities for losses, and indemnification provisions
14. Dispute Resolution: Procedures for resolving disputes, including jurisdiction and governing law
15. General Provisions: Standard clauses including notices, amendments, assignment, and severability
1. Special Investment Guidelines: Used when the Principal has specific investment preferences or restrictions beyond standard parameters
2. Performance Targets: Include when specific investment performance metrics or benchmarks are agreed upon
3. Sub-Agency Provisions: Required when the Agent is permitted to appoint sub-agents for specific functions
4. Foreign Investment Provisions: Necessary when dealing with foreign investments or cross-border transactions
5. Online Platform Access: Include when investment services include access to online trading or reporting platforms
6. ESG Investment Criteria: Used when environmental, social, and governance criteria are part of the investment strategy
7. Risk Disclosure: Additional risk warnings and acknowledgments for complex investment strategies
8. Force Majeure: Detailed provisions for handling unforeseen circumstances affecting investment activities
1. Schedule A - Investment Policy Statement: Detailed investment objectives, strategy, asset allocation, and investment restrictions
2. Schedule B - Fee Schedule: Comprehensive breakdown of all fees, charges, and calculation methods
3. Schedule C - Authorized Personnel: List of authorized representatives from both parties who can give/receive instructions
4. Schedule D - Reporting Requirements: Specific format, frequency, and content of investment reports
5. Schedule E - Risk Disclosure Statement: Detailed disclosure of investment risks and risk management procedures
6. Schedule F - KYC Requirements: Know-Your-Client documentation requirements and procedures
7. Appendix 1 - Power of Attorney: Formal authorization document detailing the Agent's powers
8. Appendix 2 - Compliance Procedures: Detailed procedures for ensuring compliance with Philippine regulations
Authors
Relevant legal definitions
Clauses
Relevant Industries
Financial Services
Banking
Investment Management
Wealth Management
Securities Trading
Asset Management
Professional Services
Corporate Services
Trust Services
Private Equity
Venture Capital
Real Estate Investment
Insurance
Relevant Teams
Legal
Compliance
Investment Management
Wealth Management
Risk Management
Operations
Client Services
Due Diligence
Portfolio Management
Financial Advisory
Corporate Strategy
Executive Management
Investment Committee
Board of Directors
Relevant Roles
Investment Manager
Portfolio Manager
Wealth Management Advisor
Financial Advisor
Compliance Officer
Legal Counsel
Risk Manager
Investment Director
Chief Investment Officer
Account Manager
Relationship Manager
Trust Officer
Investment Analyst
Operations Manager
Due Diligence Officer
Managing Director
Chief Executive Officer
Chief Financial Officer
Investment Committee Member
Board Director
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