The Investment Mandate Agreement is a crucial document used in the Swiss financial services industry to establish and govern the relationship between investment managers and their clients. It is required when a client delegates investment decision-making authority to a professional manager regulated under Swiss financial services laws. The agreement must comply with strict Swiss regulatory requirements, including FinSA/FIDLEG and FinIA/FINIG, and addresses key aspects such as client categorization, investment strategy, risk disclosure, reporting obligations, and fee structures. This document is particularly important in Switzerland's sophisticated financial services market, where it serves as the primary contractual framework for discretionary asset management services.
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1. Parties: Identification of the investment manager and the client, including regulatory status and client categorization
2. Background: Context of the agreement and brief description of the services to be provided
3. Definitions: Key terms used throughout the agreement
4. Appointment and Authority: Formal appointment of the investment manager and scope of discretionary authority
5. Investment Objectives and Strategy: Agreed investment strategy, objectives, and any restrictions
6. Investment Guidelines: Specific guidelines and restrictions for portfolio management
7. Fees and Expenses: Management fees, performance fees, and other charges
8. Reporting and Valuations: Frequency and content of portfolio reports and valuations
9. Risk Disclosures: Mandatory risk warnings and disclosures as required by FinSA
10. Client Representations and Warranties: Client confirmations regarding their status, understanding of risks, and authority
11. Manager Representations and Warranties: Manager confirmations regarding licensing, expertise, and regulatory compliance
12. Conflicts of Interest: Disclosure and management of potential conflicts
13. Liability and Indemnification: Extent of manager's liability and indemnification provisions
14. Termination: Terms for termination of the agreement and consequences
15. Confidentiality: Protection of confidential information and banking secrecy obligations
16. Data Protection: Compliance with Swiss data protection laws
17. Anti-Money Laundering: AML compliance obligations and requirements
18. Governing Law and Jurisdiction: Swiss law as governing law and jurisdiction provisions
19. Miscellaneous: Standard boilerplate provisions including notices, amendments, and assignment
1. Best Execution: Required if the manager executes trades - details of best execution policy
2. Custody Arrangements: Required if custody services are included or if specific custody requirements exist
3. Foreign Account Tax Compliance: Required for US clients or when FATCA compliance is relevant
4. Electronic Communications: Optional section for agreements where electronic communication is primary
5. Proxy Voting: Required if the manager will handle proxy voting rights
6. Sub-Advisory Arrangements: Required if sub-managers may be appointed
7. Special Investment Provisions: Required for specific investment types (e.g., derivatives, alternative investments)
8. Joint Account Provisions: Required for joint account holders
1. Investment Guidelines and Restrictions: Detailed investment parameters, restrictions, and eligible investments
2. Fee Schedule: Detailed breakdown of all fees, charges, and calculation methodologies
3. Risk Profile Questionnaire: Client's completed risk profile assessment
4. Authorized Persons: List of persons authorized to give instructions on behalf of the client
5. FINMA Client Information Sheet: Mandatory regulatory information sheet as required by FINMA
6. Execution Policy: Details of the manager's execution policy and arrangements
7. Conflicts of Interest Policy: Detailed policy on managing conflicts of interest
8. Data Protection Notice: Detailed information about data processing and client rights
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