The Asset Management Agreement is a critical document used to establish and regulate the professional relationship between licensed asset managers and their clients in Malta. It is essential for any entity providing portfolio management services under Maltese financial services legislation and EU regulatory frameworks. The agreement typically includes detailed provisions on investment strategy, risk parameters, fee structures, reporting obligations, and regulatory compliance requirements. It must comply with the Investment Services Act (Chapter 370 of the Laws of Malta), MFSA Investment Services Rules, and relevant EU directives such as MiFID II. The document is particularly important in Malta's context as a growing European financial center, where asset managers serve both local and international clients across various investment strategies and asset classes.
Asset Management Agreement for Malta
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Key Requirements PROMPT example:
Asset Management Agreement
"I need an Asset Management Agreement for a Malta-based investment firm managing a high-net-worth individual's portfolio of €5M+, with discretionary authority to invest in EU-listed securities and bonds, to be effective from March 1, 2025."
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1. Parties: Identification of the asset manager and the client, including regulatory status and contact details
2. Background: Context of the agreement, including client classification and nature of services
3. Definitions and Interpretation: Key terms used throughout the agreement and interpretation rules
4. Appointment and Scope of Authority: Formal appointment of the asset manager and extent of discretionary authority
5. Services and Investment Objectives: Detailed description of services and agreed investment strategy
6. Client's Representations and Warranties: Client's confirmations regarding their status, authority, and understanding
7. Manager's Obligations: Core duties, standard of care, and regulatory compliance obligations
8. Investment Guidelines and Restrictions: Permitted investments, restrictions, and risk parameters
9. Fees and Expenses: Management fees, performance fees, expenses, and payment terms
10. Reporting and Valuations: Frequency and content of reports, valuation methodology
11. Conflicts of Interest: Disclosure and management of potential conflicts
12. Liability and Indemnification: Limitations of liability and mutual indemnification provisions
13. Term and Termination: Duration, termination rights, and consequences of termination
14. Confidentiality: Protection of confidential information and data protection obligations
15. Notices: Communication methods and contact details
16. General Provisions: Standard boilerplate clauses including governing law, amendments, etc.
1. Custody Arrangements: Include when the manager arranges custody services or interfaces with third-party custodians
2. Third Party Arrangements: Required when delegating functions to third parties or using sub-managers
3. Electronic Services: Include when providing online portfolio access or electronic trading facilities
4. Foreign Account Provisions: Required for clients subject to foreign regulations (e.g., FATCA)
5. Performance Benchmarks: Include when specific performance measurement criteria are agreed
6. Client Advisory Committee: For institutional clients requiring oversight committees
7. Multiple Portfolio Management: When managing multiple portfolios or accounts for the same client
8. Securities Lending: If securities lending activities are permitted
1. Investment Guidelines: Detailed investment restrictions, asset allocation, and risk parameters
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. Reporting Requirements: Ƶ and specifications for periodic reports
5. Risk Disclosures: Detailed risk warnings and client acknowledgments
6. Conflicts of Interest Policy: Detailed policy for managing conflicts of interest
7. Data Protection Terms: Detailed terms for compliance with GDPR and local data protection laws
8. Best Execution Policy: Details of the manager's execution policy as required by MiFID II
Authors
Relevant legal definitions
Clauses
Relevant Industries
Financial Services
Investment Management
Banking
Insurance
Wealth Management
Private Banking
Fund Management
Pension Management
Corporate Treasury
Family Office Services
Alternative Investments
Real Estate Investment
Relevant Teams
Legal
Compliance
Risk Management
Investment Management
Client Relations
Operations
Portfolio Management
Wealth Management
Fund Administration
Business Development
Executive Management
Finance
Due Diligence
Relevant Roles
Chief Investment Officer
Portfolio Manager
Investment Manager
Compliance Officer
Legal Counsel
Risk Manager
Client Relationship Manager
Investment Advisor
Wealth Manager
Operations Manager
Fund Manager
Managing Director
Chief Executive Officer
Chief Financial Officer
Chief Risk Officer
Chief Legal Officer
Chief Compliance Officer
Investment Director
Private Banker
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