The Account Management Agreement serves as the foundational document for establishing and managing professional account relationships in the Canadian financial services sector. This agreement is essential when a financial institution or professional account manager takes on the responsibility of managing client accounts, whether for individuals, corporations, or institutional clients. The document comprehensively addresses service scope, regulatory compliance, risk management, privacy protection, and operational procedures, all within the framework of Canadian federal and provincial laws. It includes specific provisions required by Canadian regulations such as the Bank Act and PIPEDA, while also incorporating necessary consumer protection elements and financial services requirements. The agreement is structured to protect both the service provider and client interests, establishing clear parameters for the account management relationship.
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1. Parties: Identification of the account manager and the client, including full legal names and addresses
2. Background: Context of the agreement and brief description of the services to be provided
3. Definitions: Definitions of key terms used throughout the agreement
4. Scope of Services: Detailed description of account management services to be provided
5. Appointment and Authority: Formal appointment of the account manager and extent of their authority
6. Client Responsibilities: Obligations of the client, including providing accurate information and required documentation
7. Fees and Expenses: Details of management fees, additional charges, and payment terms
8. Account Operations: Procedures for account operations, transactions, and reporting
9. Risk Disclosure: Disclosure of investment and operational risks
10. Compliance and Regulatory Matters: Compliance requirements and regulatory obligations
11. Confidentiality: Provisions regarding the protection of confidential information
12. Term and Termination: Duration of the agreement and termination provisions
13. Liability and Indemnification: Limitations of liability and indemnification obligations
14. General Provisions: Standard legal provisions including governing law, notices, and amendments
1. Investment Guidelines: Specific investment restrictions and guidelines - include when managing investment accounts
2. Performance Reporting: Detailed performance measurement and reporting requirements - include for sophisticated clients
3. Sub-Advisory Arrangements: Terms for engaging sub-advisors - include when third-party managers may be used
4. Electronic Services: Terms for online account access and digital services - include when offering digital platforms
5. Foreign Account Provisions: Special provisions for non-resident clients - include for international clients
6. Custody Arrangements: Terms related to custody services - include when offering custody services
7. Client Classification: Client categorization and resulting obligations - include for regulated investment services
1. Schedule A - Fee Schedule: Detailed breakdown of all fees, charges, and commission structures
2. Schedule B - Authorized Persons: List of individuals authorized to give instructions on behalf of the client
3. Schedule C - Services Description: Detailed description of specific services and service levels
4. Schedule D - Account Opening Forms: Required documentation for account opening and KYC information
5. Appendix 1 - Risk Disclosure Statement: Detailed risk disclosures required by regulations
6. Appendix 2 - Privacy Policy: Detailed privacy policy and information handling procedures
7. Appendix 3 - Compliance Requirements: Specific regulatory and compliance requirements applicable to the account
Relevant legal definitions
Account
Account Management Services
Applicable Laws
Authorized Person
Business Day
Client
Confidential Information
Custodian
Electronic Services
Fees
Financial Institution
Force Majeure
Governing Law
Instructions
Investment Guidelines
Investment Objectives
KYC Information
Loss
Manager
Personal Information
Privacy Laws
Professional Standards
Regulatory Authorities
Related Party
Reports
Representatives
Securities
Services
Sub-advisor
Term
Transaction
Valuation Date
Working Hours
Client Assets
Effective Date
Material Adverse Change
Notice
Portfolio
Regulatory Requirements
Risk Profile
Service Level Standards
Account Management Services
Applicable Laws
Authorized Person
Business Day
Client
Confidential Information
Custodian
Electronic Services
Fees
Financial Institution
Force Majeure
Governing Law
Instructions
Investment Guidelines
Investment Objectives
KYC Information
Loss
Manager
Personal Information
Privacy Laws
Professional Standards
Regulatory Authorities
Related Party
Reports
Representatives
Securities
Services
Sub-advisor
Term
Transaction
Valuation Date
Working Hours
Client Assets
Effective Date
Material Adverse Change
Notice
Portfolio
Regulatory Requirements
Risk Profile
Service Level Standards
Clauses
Appointment
Authority
Services
Fees and Expenses
Payment
Client Obligations
Account Operation
Investment Management
Risk Disclosure
Regulatory Compliance
Representations and Warranties
Confidentiality
Data Protection
Privacy
Intellectual Property
Record Keeping
Reporting
Communication
Electronic Services
Term
Termination
Force Majeure
Liability
Indemnification
Insurance
Assignment
Delegation
Sub-contracting
Notices
Amendment
Severability
Entire Agreement
Governing Law
Dispute Resolution
Anti-Money Laundering
Conflict of Interest
Best Execution
Client Classification
Service Standards
Performance Requirements
Authority
Services
Fees and Expenses
Payment
Client Obligations
Account Operation
Investment Management
Risk Disclosure
Regulatory Compliance
Representations and Warranties
Confidentiality
Data Protection
Privacy
Intellectual Property
Record Keeping
Reporting
Communication
Electronic Services
Term
Termination
Force Majeure
Liability
Indemnification
Insurance
Assignment
Delegation
Sub-contracting
Notices
Amendment
Severability
Entire Agreement
Governing Law
Dispute Resolution
Anti-Money Laundering
Conflict of Interest
Best Execution
Client Classification
Service Standards
Performance Requirements
Relevant Industries
Financial Services
Banking
Wealth Management
Investment Management
Asset Management
Corporate Services
Professional Services
Family Office Services
Private Banking
Institutional Services
Relevant Teams
Legal
Compliance
Risk Management
Operations
Client Services
Account Management
Wealth Management
Investment Management
Business Development
Regulatory Affairs
Finance
Client Onboarding
Relevant Roles
Account Manager
Relationship Manager
Compliance Officer
Legal Counsel
Risk Manager
Operations Manager
Client Services Director
Financial Advisor
Portfolio Manager
Chief Financial Officer
Head of Wealth Management
Investment Director
Client Onboarding Specialist
Regulatory Affairs Manager
Business Development Manager
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