The Investment Consulting Agreement is a critical document used when establishing a professional relationship between an investment consultant and their clients in the United States. This agreement outlines the consultant's responsibilities, including investment strategy development, portfolio monitoring, and performance reporting, while ensuring compliance with SEC regulations, state securities laws, and fiduciary obligations. It's essential for protecting both parties' interests and establishing clear parameters for the consulting relationship, particularly important given the regulated nature of investment advisory services under U.S. law.
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1. Parties: Identification of the investment consultant and client
2. Background: Context and purpose of the agreement, including regulatory framework and qualifications
3. Definitions: Key terms used throughout the agreement, including investment-related terminology
4. Scope of Services: Detailed description of investment consulting services to be provided, including analysis, recommendations, and monitoring
5. Fees and Payment Terms: Compensation structure, payment schedule, and any additional charges
6. Term and Termination: Duration of agreement and conditions for termination by either party
7. Confidentiality: Protection of confidential information and trade secrets
8. Standard of Care: Fiduciary duties, professional standards, and compliance with applicable laws
9. Representations and Warranties: Statements of fact and promises made by both parties
10. Indemnification: Terms for mutual protection against losses and liabilities
1. ERISA Provisions: Additional terms and obligations when serving ERISA plan clients
2. Performance Reporting: Specific requirements for performance measurement and reporting
3. Sub-Advisor Provisions: Terms governing the engagement and oversight of sub-advisors
4. Proxy Voting: Terms regarding proxy voting responsibilities and procedures
5. Regulatory Compliance: Special provisions for regulatory compliance and reporting requirements
1. Schedule A - Fee Schedule: Detailed breakdown of all fees, charges, and payment terms
2. Schedule B - Investment Policy Statement: Client's investment objectives, constraints, and guidelines
3. Schedule C - Service Level Agreement: Specific performance metrics and service standards
4. Schedule D - Compliance Procedures: Detailed compliance requirements and procedures
5. Schedule E - Required Disclosures: SEC-required disclosures and Form ADV
6. Schedule F - Authorized Representatives: List of authorized client representatives who can provide instructions
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