The Investment Management Contract is a crucial document used when establishing a professional investment management relationship in Saudi Arabia. It is specifically designed for situations where a CMA-licensed investment manager takes responsibility for managing client assets in compliance with Saudi regulations and Sharia law. The contract covers essential aspects including investment strategy, risk management, fee structures, and reporting requirements, while ensuring compliance with the Capital Market Law and related regulations. This document is particularly important given Saudi Arabia's evolving financial markets and the implementation of Vision 2030, which has introduced new regulatory requirements and investment opportunities. The agreement must reflect both international best practices in investment management and local regulatory requirements, including Islamic finance principles.
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1. Parties: Identification of the Investment Manager and the Client, including their full legal names, addresses, and registration details
2. Background: Context of the agreement, including the Investment Manager's licensing status with CMA and the Client's intention to appoint the manager
3. Definitions: Comprehensive list of defined terms used throughout the agreement, including regulatory and financial terms
4. Appointment and Authority: Formal appointment of the Investment Manager and scope of delegated authority
5. Investment Objectives and Strategy: Detailed outline of agreed investment objectives, strategy, and any investment restrictions
6. Sharia Compliance: Confirmation of adherence to Sharia principles and specific requirements for Islamic investment management
7. Services and Obligations: Detailed description of services to be provided by the Investment Manager and their specific obligations
8. Client's Obligations: Responsibilities and obligations of the Client, including information provision and cooperation requirements
9. Fees and Expenses: Comprehensive breakdown of management fees, performance fees, and other applicable charges
10. Reporting and Valuations: Requirements for periodic reporting, performance evaluation, and portfolio valuation methodology
11. Risk Disclosures: Detailed disclosure of investment risks and market uncertainties
12. Confidentiality: Provisions regarding the handling of confidential information and data protection
13. Conflicts of Interest: Procedures for identifying, managing, and disclosing potential conflicts of interest
14. Term and Termination: Duration of the agreement and circumstances under which it can be terminated
15. Liability and Indemnification: Extent of Investment Manager's liability and mutual indemnification provisions
16. Governing Law and Jurisdiction: Specification of Saudi Arabian law as governing law and jurisdiction for disputes
1. Shareholder Rights and Voting: For portfolios including equities, details on how voting rights and shareholder decisions will be managed
2. Securities Lending: If applicable, terms and conditions for securities lending activities
3. Sub-Advisory Arrangements: Terms governing the appointment and oversight of sub-advisors if permitted
4. Foreign Investment Provisions: Special provisions for non-Saudi investors or investments in foreign markets
5. Special Investment Restrictions: Additional investment restrictions beyond standard limitations
6. Digital Services and Access: Terms regarding online portfolio access and digital service provisions
7. Force Majeure: Provisions for extraordinary events affecting contract performance
1. Investment Guidelines: Detailed investment parameters, restrictions, and permitted investments
2. Fee Schedule: Detailed breakdown of all fees, charges, and calculation methodologies
3. Authorized Persons: List of authorized signatories and key personnel from both parties
4. Reporting Requirements: Specific format and content requirements for various reports
5. Anti-Money Laundering Requirements: Detailed AML procedures and requirements
6. Sharia Guidelines: Specific Sharia investment criteria and prohibited investments
7. Risk Management Procedures: Detailed risk management and monitoring procedures
8. Service Level Agreement: Specific performance metrics and service standards
9. Power of Attorney: Formal authorization for the Investment Manager to act on behalf of the Client
Relevant legal definitions
Clauses
Relevant Industries
Financial Services
Banking
Investment Management
Asset Management
Wealth Management
Islamic Finance
Private Equity
Venture Capital
Insurance
Real Estate Investment
Corporate Services
Family Office Services
Relevant Teams
Legal
Compliance
Risk Management
Investment Management
Portfolio Management
Client Relations
Operations
Islamic Finance
Due Diligence
Executive Management
Finance
Research and Analysis
Relevant Roles
Chief Investment Officer
Portfolio Manager
Investment Manager
Compliance Officer
Legal Counsel
Risk Manager
Wealth Manager
Client Relationship Manager
Fund Manager
Islamic Finance Specialist
Executive Director
Managing Director
Chief Executive Officer
Chief Financial Officer
Investment Analyst
Due Diligence Officer
Operations Manager
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