The Financial Management Agreement is a crucial document used when establishing a professional relationship between a licensed financial manager and a client in Australia. It sets out the comprehensive framework for the provision of financial management services, including investment management, reporting, and advisory services. The agreement must comply with Australian regulatory requirements, particularly the Corporations Act 2001 (Cth) and ASIC regulations, and includes mandatory disclosures, risk warnings, and consumer protections. This document is essential for financial service providers operating in Australia who offer ongoing financial management services, as it establishes clear boundaries of authority, responsibilities, and service expectations while ensuring regulatory compliance.
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1. Parties: Identification of the Financial Manager and the Client, including ABN/ACN, licensing details, and contact information
2. Background: Context of the agreement, including the Financial Manager's qualifications and the Client's objectives
3. Definitions: Definitions of key terms used throughout the agreement
4. Appointment and Authority: Formal appointment of the Financial Manager and scope of authority granted
5. Services: Detailed description of financial management services to be provided
6. Fees and Charges: Comprehensive fee structure, payment terms, and expenses
7. Client Obligations: Client's responsibilities, including provision of information and cooperation
8. Compliance and Reporting: Regulatory compliance obligations and reporting requirements
9. Risk Disclosure: Mandatory risk warnings and acknowledgments
10. Privacy and Confidentiality: Privacy obligations and handling of confidential information
11. Term and Termination: Duration of agreement and termination provisions
12. Liability and Indemnity: Limitation of liability and indemnification provisions
13. General Provisions: Standard boilerplate clauses including governing law, notices, and assignment
1. Investment Strategy: Detailed investment strategy and guidelines - include when specific investment management is part of the services
2. Performance Benchmarks: Specific performance metrics and evaluation criteria - include when performance-based fees apply
3. Custody Services: Terms relating to custody of client assets - include when custody services are provided
4. International Transactions: Provisions for international financial activities - include when dealing with overseas investments
5. Sub-advisory Arrangements: Terms for engaging external specialists - include when sub-advisors may be used
6. Special Instructions: Client-specific requirements or restrictions - include when client has specific investment constraints
7. Force Majeure: Provisions for extraordinary events - include for longer-term or higher-value agreements
1. Schedule 1 - Fee Schedule: Detailed breakdown of all fees, charges, and calculation methods
2. Schedule 2 - Services Description: Comprehensive list and description of all services to be provided
3. Schedule 3 - Investment Guidelines: Specific investment parameters, restrictions, and guidelines
4. Schedule 4 - Authorized Representatives: List of authorized persons who can give instructions on behalf of the client
5. Appendix A - Risk Disclosure Statement: Detailed risk warnings and disclosures required by regulations
6. Appendix B - Privacy Policy: Detailed privacy policy and information handling procedures
7. Appendix C - Reporting Templates: Standard formats for regular reporting and communications
8. Appendix D - Compliance Requirements: Specific regulatory and compliance obligations applicable to the services
Relevant legal definitions
Account
Applicable Laws
ASIC
Assets Under Management
Authorised Representative
Business Day
Client
Commencement Date
Confidential Information
Corporations Act
Custodian
Effective Date
Fees
Financial Services
Financial Services Guide
Financial Year
Force Majeure Event
FSG
GST
Investment Guidelines
Investment Objectives
Investment Strategy
Investment Universe
Management Fee
Performance Fee
Personal Information
Portfolio
Professional Investor
Related Body Corporate
Relevant Law
Reporting Period
Representatives
Services
Statement of Advice
Sub-advisor
Term
Third Party Service Provider
Transaction
Valuation Date
Wholesale Client
Applicable Laws
ASIC
Assets Under Management
Authorised Representative
Business Day
Client
Commencement Date
Confidential Information
Corporations Act
Custodian
Effective Date
Fees
Financial Services
Financial Services Guide
Financial Year
Force Majeure Event
FSG
GST
Investment Guidelines
Investment Objectives
Investment Strategy
Investment Universe
Management Fee
Performance Fee
Personal Information
Portfolio
Professional Investor
Related Body Corporate
Relevant Law
Reporting Period
Representatives
Services
Statement of Advice
Sub-advisor
Term
Third Party Service Provider
Transaction
Valuation Date
Wholesale Client
Clauses
Appointment
Authority
Services
Investment Management
Fees and Expenses
Performance Measurement
Reporting
Client Obligations
Risk Disclosure
Compliance
Representations and Warranties
Confidentiality
Privacy
Data Protection
Custody
Sub-delegation
Record Keeping
Conflict of Interest
Anti-Money Laundering
Term
Termination
Force Majeure
Liability
Indemnification
Insurance
Notices
Assignment
Amendment
Severability
Entire Agreement
Governing Law
Dispute Resolution
Authority
Services
Investment Management
Fees and Expenses
Performance Measurement
Reporting
Client Obligations
Risk Disclosure
Compliance
Representations and Warranties
Confidentiality
Privacy
Data Protection
Custody
Sub-delegation
Record Keeping
Conflict of Interest
Anti-Money Laundering
Term
Termination
Force Majeure
Liability
Indemnification
Insurance
Notices
Assignment
Amendment
Severability
Entire Agreement
Governing Law
Dispute Resolution
Relevant Industries
Financial Services
Banking
Investment Management
Wealth Management
Private Equity
Hedge Funds
Superannuation
Corporate Services
Professional Services
Family Office Services
Asset Management
Fund Management
Relevant Teams
Legal
Compliance
Risk Management
Investment Management
Operations
Client Services
Finance
Business Development
Portfolio Management
Wealth Management
Trust Administration
Relevant Roles
Financial Manager
Investment Manager
Compliance Officer
Legal Counsel
Risk Manager
Portfolio Manager
Client Relationship Manager
Operations Manager
Chief Investment Officer
Chief Financial Officer
Financial Advisor
Wealth Manager
Trust Officer
Financial Controller
Business Development Manager
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