The Investment Mandate Agreement is a crucial document used when establishing a discretionary investment management relationship between an investment manager and a client in Austria. It is required whenever a licensed investment manager takes on the responsibility of managing client assets on a discretionary basis. The agreement must comply with Austrian financial regulations, particularly the Securities Supervision Act 2018 (WAG 2018) which implements MiFID II, the Banking Act (BWG), and relevant EU regulations. This document outlines the scope of authority granted to the manager, investment guidelines, risk parameters, reporting obligations, and fee structures. It includes mandatory regulatory disclosures, client categorization requirements, and specific provisions required under Austrian law. The Investment Mandate Agreement serves as the primary contractual framework protecting both the investment manager and the client while ensuring regulatory compliance.
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1. Parties: Identification of the investment manager and the client, including regulatory status and contact details
2. Background: Context of the agreement and confirmation of the client's desire to appoint the investment manager
3. Definitions and Interpretation: Key terms used throughout the agreement, including regulatory and investment-specific terminology
4. Appointment and Authority: Formal appointment of the investment manager and scope of discretionary authority
5. Investment Objectives and Strategy: Agreed investment objectives, strategy, and any restrictions on investments
6. Services: Detailed description of investment management services to be provided
7. Client Categorization: Classification of the client according to MiFID II categories (retail/professional/eligible counterparty)
8. Risk Disclosures: Mandatory risk warnings and acknowledgments required under Austrian law
9. Fees and Expenses: Management fees, performance fees, and other charges, including calculation methods
10. Reporting and Valuations: Frequency and content of portfolio reports and valuations
11. Conflicts of Interest: Disclosure and management of potential conflicts
12. Client Representations and Warranties: Client confirmations regarding their status, authority, and understanding
13. Manager Representations and Warranties: Manager confirmations regarding regulatory status, authority, and capabilities
14. Anti-Money Laundering: AML/KYC requirements and ongoing obligations
15. Data Protection: GDPR compliance and data processing terms
16. Term and Termination: Duration of agreement and termination provisions
17. Liability and Indemnification: Extent of manager's liability and client indemnifications
18. Notices: Communication methods and contact details
19. Governing Law and Jurisdiction: Confirmation of Austrian law and jurisdiction
1. Voting Rights: Terms for exercising voting rights attached to investments, optional if no equity investments are planned
2. Custody Arrangements: Include if the manager arranges custody services or interfaces with a third-party custodian
3. Research and Soft Commission: Required if the manager receives third-party research or uses soft commission arrangements
4. Securities Lending: Include if securities lending is permitted within the portfolio
5. ESG Criteria: Include if specific environmental, social, and governance criteria apply to investments
6. Best Execution: Detailed best execution policy, optional for professional clients who don't require it
7. Sub-delegation: Include if the manager may delegate investment management functions
8. Force Majeure: Optional clause defining circumstances beyond parties' control
9. Additional Services: Include if additional non-standard services are provided
1. Investment Guidelines: Detailed investment restrictions, limits, and permitted instruments
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. Risk Disclosure Document: Detailed risk warnings required under Austrian law
5. Execution Policy: Details of the manager's execution policy as required by MiFID II
6. Conflicts of Interest Policy: Full conflicts of interest policy
7. Privacy Notice: Detailed privacy notice compliant with GDPR requirements
8. Reporting Templates: Format and content of regular client reports
9. Client Classification Notice: Detailed explanation of client categorization and its implications
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