The Mutual Fund Agreement serves as the foundational document for establishing and managing mutual fund investments in Canada. It is typically used when investors seek to participate in professionally managed investment funds and requires careful consideration of both federal and provincial regulatory requirements. The agreement encompasses essential elements such as investment terms, fee structures, risk disclosures, and operational procedures, while ensuring compliance with Canadian securities legislation including National Instruments 81-102 and 81-101. This document is crucial for fund managers, trustees, and investors as it defines their rights, responsibilities, and the overall framework for the investment relationship while incorporating necessary regulatory safeguards and disclosure requirements.
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1. Parties: Identification of the mutual fund company, fund manager, trustee (if applicable), and investor
2. Background: Context of the agreement and general purpose of the mutual fund investment relationship
3. Definitions: Key terms used throughout the agreement including fund units, NAV, prospectus, etc.
4. Investment Terms: Basic terms governing the investment, including subscription, redemption, and transfer of fund units
5. Fund Operations: Details of how the fund is managed, investment objectives, and strategies
6. Fees and Expenses: Management fees, operating expenses, sales charges, and other applicable fees
7. Risk Acknowledgment: Disclosure of investment risks and investor acknowledgment of understanding
8. Representations and Warranties: Statements of fact and guarantees from both parties
9. Privacy and Confidentiality: Handling of personal and confidential information
10. Regulatory Compliance: Compliance with applicable securities laws and regulations
11. Account Administration: Procedures for account maintenance, statements, and communications
12. Termination: Conditions and procedures for terminating the agreement
13. General Provisions: Standard legal provisions including governing law, amendments, and notices
1. Systematic Investment Plan: Include when offering regular investment payment options
2. Tax-Advantaged Accounts: Include for RRSP, TFSA, or other registered accounts
3. Foreign Investment Provisions: Include for funds with international investments
4. Currency Hedging: Include for funds offering currency hedging options
5. Electronic Services: Include for online/digital account access and trading
6. Joint Account Provisions: Include for accounts with multiple holders
7. Dealer Service Fee Arrangements: Include when involving third-party dealers
8. Locked-in Provisions: Include for pension-derived funds subject to locking-in requirements
1. Schedule A - Fund Details: Specific details of the mutual fund(s) including investment objectives, strategies, and restrictions
2. Schedule B - Fee Schedule: Detailed breakdown of all applicable fees and charges
3. Schedule C - Risk Disclosure Statement: Comprehensive risk factors and disclosure requirements
4. Schedule D - KYC Information: Know Your Client information and investor profile
5. Schedule E - Operating Procedures: Detailed procedures for subscriptions, redemptions, and transfers
6. Appendix 1 - Investment Instructions: Specific investment instructions and preferences
7. Appendix 2 - Authorization Forms: Required authorization and signature forms
8. Appendix 3 - Tax Forms: Relevant tax forms and declarations
Relevant legal definitions
Account
Applicable Laws
Assets Under Management
Authorized Representative
Business Day
CRA
Custodian
Dealer
Distribution
Fund Documents
Fund Manager
Fund Units
Governing Documents
Investment Objective
Investment Restrictions
Investment Strategy
KYC Information
Management Fee
NAV
Net Asset Value Per Unit
Operating Expenses
Prospectus
Redemption
Registered Plan
Regulatory Authorities
Securities Laws
Statement of Policies
Subscription
Switching
Tax Act
Transaction Day
Transfer Agent
Trust Agreement
Trustee
Unit
Unitholder
Valuation Date
Valuation Time
Applicable Laws
Assets Under Management
Authorized Representative
Business Day
CRA
Custodian
Dealer
Distribution
Fund Documents
Fund Manager
Fund Units
Governing Documents
Investment Objective
Investment Restrictions
Investment Strategy
KYC Information
Management Fee
NAV
Net Asset Value Per Unit
Operating Expenses
Prospectus
Redemption
Registered Plan
Regulatory Authorities
Securities Laws
Statement of Policies
Subscription
Switching
Tax Act
Transaction Day
Transfer Agent
Trust Agreement
Trustee
Unit
Unitholder
Valuation Date
Valuation Time
Clauses
Parties and Definitions
Investment Terms
Subscription and Redemption
Fund Operations
Fee Structure
Risk Disclosure
Representations and Warranties
Privacy and Confidentiality
Regulatory Compliance
Anti-Money Laundering
Account Administration
Electronic Services
Liability and Indemnification
Amendment and Termination
Assignment
Force Majeure
Governing Law
Dispute Resolution
Notices
Entire Agreement
Severability
Electronic Communication
Currency
Tax Matters
Joint Account Provisions
Power of Attorney
Beneficiary Designation
Personal Information
Reporting Requirements
Record Keeping
Investment Terms
Subscription and Redemption
Fund Operations
Fee Structure
Risk Disclosure
Representations and Warranties
Privacy and Confidentiality
Regulatory Compliance
Anti-Money Laundering
Account Administration
Electronic Services
Liability and Indemnification
Amendment and Termination
Assignment
Force Majeure
Governing Law
Dispute Resolution
Notices
Entire Agreement
Severability
Electronic Communication
Currency
Tax Matters
Joint Account Provisions
Power of Attorney
Beneficiary Designation
Personal Information
Reporting Requirements
Record Keeping
Relevant Industries
Financial Services
Investment Management
Banking
Securities Trading
Wealth Management
Asset Management
Fund Administration
Professional Services
Financial Technology
Retirement Services
Relevant Teams
Legal
Compliance
Investment Management
Operations
Risk Management
Client Services
Product Development
Fund Administration
Wealth Management
Investment Advisory
Relevant Roles
Fund Manager
Compliance Officer
Legal Counsel
Investment Advisor
Portfolio Manager
Risk Manager
Operations Director
Chief Investment Officer
Financial Advisor
Wealth Manager
Trust Officer
Product Manager
Relationship Manager
Chief Compliance Officer
Investment Operations Manager
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