The Investment Consulting Agreement is a critical legal document used when establishing a professional relationship between an investment consultant and clients seeking expert investment advice and guidance in Malaysia. This agreement is essential for compliance with Malaysian financial regulations, particularly the Capital Markets and Services Act 2007 and Securities Commission requirements. It details the scope of consulting services, fee structures, regulatory obligations, and risk management measures. The document is typically used by financial institutions, corporate entities, or high-net-worth individuals seeking professional investment advisory services, and must incorporate specific Malaysian regulatory requirements regarding investment advice, client protection, and financial service provisions. The agreement serves as a comprehensive framework for protecting both parties' interests while ensuring regulatory compliance in the Malaysian financial services sector.
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1. Parties: Identification of the Investment Consultant and the Client, including registration details and addresses
2. Background: Context of the agreement, consultant's qualifications, and general purpose of the arrangement
3. Definitions: Key terms used throughout the agreement, including regulatory and technical investment terms
4. Scope of Services: Detailed description of investment consulting services to be provided
5. Consultant's Obligations: Key responsibilities, duties, and standards of service
6. Client's Obligations: Client's responsibilities, including information provision and cooperation
7. Fees and Payment: Fee structure, payment terms, expenses, and invoicing procedures
8. Regulatory Compliance: Compliance with Malaysian securities laws and regulations
9. Confidentiality: Protection of confidential information and trade secrets
10. Conflicts of Interest: Management and disclosure of potential conflicts
11. Term and Termination: Duration of agreement and termination provisions
12. Liability and Indemnification: Limitation of liability and indemnification provisions
13. General Provisions: Standard boilerplate clauses including governing law, notices, and amendment procedures
1. Non-Competition: Restrictions on competitive activities, used when sharing sensitive market strategies
2. Intellectual Property: IP ownership and usage rights, needed when developing proprietary investment strategies or tools
3. Data Protection: Specific PDPA compliance measures, required when handling personal data
4. Force Majeure: Protection against unforeseen events, important for long-term agreements
5. Insurance: Insurance requirements, recommended for high-value consulting arrangements
6. Anti-Corruption: Anti-bribery and corruption provisions, crucial for international clients
7. Dispute Resolution: Specific dispute resolution procedures, recommended for complex arrangements
1. Schedule 1 - Services Description: Detailed breakdown of investment consulting services and deliverables
2. Schedule 2 - Fee Schedule: Detailed fee structure, including any performance-based fees
3. Schedule 3 - Service Levels: Performance metrics and service level requirements
4. Schedule 4 - Key Personnel: Details of key team members and their responsibilities
5. Schedule 5 - Compliance Requirements: Specific regulatory requirements and compliance procedures
6. Appendix A - Investment Policy Guidelines: Client's investment objectives and constraints
7. Appendix B - Reporting Requirements: Format and frequency of investment reports and updates
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