An Investment Consulting Agreement is essential for establishing professional investment advisory relationships in the Canadian market. This document is typically used when an investment consultant or advisory firm agrees to provide investment guidance, portfolio analysis, or strategic investment planning services to clients. The agreement must comply with Canadian securities regulations, including provincial Securities Acts and National Instrument 31-103, which govern registration requirements and ongoing obligations. It includes detailed provisions for service scope, regulatory compliance, fiduciary duties, fee structures, and risk management. The document is crucial for both registered investment advisors and their clients, whether institutional or private, and must incorporate specific Canadian regulatory requirements regarding privacy (PIPEDA), anti-money laundering, and professional standards of care.
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1. Parties: Identification of the investment consultant and the client, including full legal names and addresses
2. Background: Context of the agreement, including consultant's qualifications and registrations
3. Definitions: Key terms used throughout the agreement, including regulatory and industry-specific terminology
4. Scope of Services: Detailed description of investment consulting services to be provided
5. Regulatory Compliance: Acknowledgment and commitment to comply with applicable securities laws and regulations
6. Standard of Care: Fiduciary obligations and professional standard of care requirements
7. Fees and Payment Terms: Compensation structure, payment schedule, and expense reimbursement
8. Confidentiality: Protection of client information and trade secrets
9. Privacy and Data Protection: PIPEDA compliance and data handling procedures
10. Representations and Warranties: Statements of fact and promises by both parties
11. Term and Termination: Duration of agreement and termination provisions
12. Limitation of Liability: Caps on liability and exclusions of certain types of damages
13. Indemnification: Mutual or one-way indemnification obligations
14. Insurance: Required insurance coverage and minimum limits
15. General Provisions: Standard boilerplate clauses including governing law, notices, and amendments
1. Sub-Advisors: Terms governing the engagement of sub-advisors or third-party service providers
2. Non-Competition: Restrictions on competitive activities, if applicable
3. Marketing and Referrals: Terms governing use of client name and referral arrangements
4. Custody Arrangements: If consultant has any role in custody of client assets
5. Performance Reporting: Specific requirements for performance calculation and reporting
6. Regulatory Exemptions: Any applicable exemptions from securities registration requirements
7. Intellectual Property: Ownership and use of research, reports, and analytical tools
8. Force Majeure: Provisions for unforeseen circumstances affecting service delivery
1. Schedule A - Services Description: Detailed listing of specific investment consulting services to be provided
2. Schedule B - Fee Schedule: Detailed fee calculations, rates, and payment terms
3. Schedule C - Authorized Representatives: List of authorized client representatives who can provide instructions
4. Schedule D - Compliance Manual: Summary of relevant compliance procedures and requirements
5. Schedule E - Service Level Agreement: Specific performance metrics and service standards
6. Appendix 1 - Investment Policy Statement: Client's investment objectives, constraints, and guidelines
7. Appendix 2 - Risk Disclosure: Detailed disclosure of investment risks and limitations
8. Appendix 3 - Privacy Policy: Detailed privacy and data protection procedures
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