The Stock Management Agreement serves as a crucial legal framework for entities seeking professional management of their stock portfolios in India. This document is essential when engaging professional stock management services, whether for corporate entities, institutional investors, or high-net-worth individuals. The agreement ensures compliance with Indian regulatory requirements, including SEBI guidelines, Companies Act 2013, and relevant securities laws. It typically covers comprehensive details about investment strategies, risk management, reporting requirements, fee structures, and operational procedures. The Stock Management Agreement is particularly important in the Indian context due to the complex regulatory environment and the need for clear delineation of responsibilities in stock management relationships.
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1. Parties: Identifies and provides details of all parties to the agreement
2. Background: Sets out the context and purpose of the agreement
3. Definitions and Interpretation: Defines key terms and establishes rules for interpreting the agreement
4. Appointment and Scope: Details the appointment of the stock manager and scope of services
5. Rights and Obligations: Specifies the rights and obligations of all parties
6. Operating Procedures: Details the procedures for stock management, including trading, custody, and reporting
7. Fees and Expenses: Specifies all fees, charges, and expense allocation
8. Representations and Warranties: Contains statements of fact and assurances from all parties
9. Compliance and Reporting: Outlines regulatory compliance requirements and reporting obligations
10. Confidentiality: Governs the handling of confidential information
11. Liability and Indemnification: Addresses liability limitations and indemnification obligations
12. Term and Termination: Specifies duration, renewal, and termination provisions
13. Dispute Resolution: Sets out procedures for resolving disputes
14. General Provisions: Contains standard boilerplate clauses
1. Foreign Investment Compliance: Required when foreign investors are involved, detailing FEMA compliance
2. Electronic Trading Provisions: Include when electronic trading platforms will be used
3. Portfolio Valuation: Required for agreements involving portfolio management services
4. Sub-delegation: Include when sub-delegation of management functions is permitted
5. Insurance: Required when specific insurance coverage needs to be maintained
6. Force Majeure: Optional section for dealing with unforeseen circumstances
7. Anti-Money Laundering: Required for agreements with enhanced compliance requirements
8. Performance Benchmarks: Include when specific performance metrics are to be tracked
1. Schedule 1 - Services Description: Detailed description of stock management services
2. Schedule 2 - Fee Schedule: Detailed breakdown of all fees and charges
3. Schedule 3 - Operating Procedures: Detailed procedures for day-to-day operations
4. Schedule 4 - Authorized Personnel: List of authorized representatives and signatories
5. Schedule 5 - Reporting Requirements: Details of required reports and their frequency
6. Schedule 6 - Investment Guidelines: Specific guidelines and restrictions for stock management
7. Appendix A - Power of Attorney: Standard form of power of attorney if required
8. Appendix B - Compliance Checklist: Regulatory compliance requirements checklist
9. Appendix C - Account Opening Forms: Standard forms for opening trading and demat accounts
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