The Financial Investment Agreement is a crucial document used in the German financial services sector to formalize investment relationships between financial service providers and their clients. It serves as the primary contractual framework for investment services, incorporating requirements from German financial regulations including the Banking Act (KWG), Securities Trading Act (WpHG), and Investment Code (KAGB). This agreement is essential when establishing new investment management relationships, whether for individual or institutional clients, and covers aspects such as investment strategy, risk management, fee structures, reporting obligations, and regulatory compliance. The document must comply with German regulatory requirements, including MiFID II implementation, GDPR, and anti-money laundering regulations, while providing clear terms for both parties regarding their rights, obligations, and the scope of investment services.
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1. Parties: Identification of the investment service provider and investor, including regulatory status and contact details
2. Background: Context of the investment relationship and purpose of the agreement
3. Definitions: Definitions of key terms used throughout the agreement
4. Investment Services: Detailed description of the investment services to be provided
5. Investment Objectives and Strategy: Specification of investment goals, risk profile, and investment strategy
6. Investment Amount and Payment Terms: Details of initial and subsequent investments, payment methods, and timing
7. Fees and Charges: Comprehensive breakdown of all fees, charges, and commissions
8. Risk Disclosures: Mandatory risk warnings and acknowledgments in compliance with German law
9. Reporting and Valuations: Frequency and content of investment reports and portfolio valuations
10. Representations and Warranties: Standard and regulatory-required representations from both parties
11. Compliance with Laws: Obligations regarding AML, KYC, tax regulations, and other applicable laws
12. Term and Termination: Duration of agreement and circumstances for termination
13. Data Protection: GDPR compliance provisions and data handling procedures
14. Governing Law and Jurisdiction: Confirmation of German law application and jurisdiction
1. Portfolio Management Powers: Required when discretionary portfolio management services are provided
2. Investment Restrictions: Include when specific investment restrictions or limitations apply
3. Third-Party Authorization: Required when third parties are authorized to give instructions
4. Online Services: Include when providing online account access or digital services
5. Tax Considerations: Include detailed tax provisions for complex investment structures
6. Force Majeure: Optional provisions for extraordinary market circumstances
7. Conflict Resolution: Alternative dispute resolution procedures if desired
8. Client Classification: Required for professional or institutional investors with specific classifications
1. Schedule 1 - Fee Schedule: Detailed breakdown of all fees, charges, and calculation methods
2. Schedule 2 - Investment Policy Statement: Detailed investment guidelines, restrictions, and benchmarks
3. Schedule 3 - Risk Profile Assessment: Client risk profile questionnaire and assessment results
4. Schedule 4 - KYC Documentation: Required customer due diligence documentation
5. Schedule 5 - Authorized Persons: List of authorized signatories and their powers
6. Appendix A - Regulatory Disclosures: Mandatory regulatory disclosures and risk warnings
7. Appendix B - Data Processing Terms: Detailed GDPR-compliant data processing terms
8. Appendix C - Service Level Agreement: Specific service levels and performance standards
Relevant legal definitions
Agreement
Investment Services
Investment Strategy
Investment Objectives
Portfolio
Investment Assets
Investment Period
Valuation Date
Business Day
Confidential Information
Due Diligence
Fees
Management Fee
Performance Fee
Investment Guidelines
Investment Restrictions
KWG
WpHG
KAGB
MiFID II
Professional Client
Retail Client
Qualified Investor
Risk Profile
Investment Advice
Portfolio Management
Financial Instruments
Securities
Derivatives
Force Majeure Event
Authorized Person
Client Classification
Investment Report
Key Information Document
Net Asset Value
Performance Period
Regulatory Authority
BaFin
Target Return
Transaction
Custodian
Depositary
Account
Market Value
Personal Data
Processing
Risk Disclosure
Service Provider
Term
Termination Date
Transfer
Underlying Assets
Investment Services
Investment Strategy
Investment Objectives
Portfolio
Investment Assets
Investment Period
Valuation Date
Business Day
Confidential Information
Due Diligence
Fees
Management Fee
Performance Fee
Investment Guidelines
Investment Restrictions
KWG
WpHG
KAGB
MiFID II
Professional Client
Retail Client
Qualified Investor
Risk Profile
Investment Advice
Portfolio Management
Financial Instruments
Securities
Derivatives
Force Majeure Event
Authorized Person
Client Classification
Investment Report
Key Information Document
Net Asset Value
Performance Period
Regulatory Authority
BaFin
Target Return
Transaction
Custodian
Depositary
Account
Market Value
Personal Data
Processing
Risk Disclosure
Service Provider
Term
Termination Date
Transfer
Underlying Assets
Clauses
Appointment and Authority
Scope of Services
Investment Powers
Investment Objectives
Risk Warnings
Investment Restrictions
Client Classification
Due Diligence
Fees and Expenses
Payment Terms
Reporting
Performance Measurement
Representations and Warranties
Confidentiality
Data Protection
Regulatory Compliance
Anti-Money Laundering
Record Keeping
Client Communications
Best Execution
Conflicts of Interest
Liability and Indemnification
Force Majeure
Assignment and Transfer
Amendments
Term and Duration
Termination
Consequences of Termination
Notices
Entire Agreement
Severability
Governing Law
Jurisdiction
Dispute Resolution
Scope of Services
Investment Powers
Investment Objectives
Risk Warnings
Investment Restrictions
Client Classification
Due Diligence
Fees and Expenses
Payment Terms
Reporting
Performance Measurement
Representations and Warranties
Confidentiality
Data Protection
Regulatory Compliance
Anti-Money Laundering
Record Keeping
Client Communications
Best Execution
Conflicts of Interest
Liability and Indemnification
Force Majeure
Assignment and Transfer
Amendments
Term and Duration
Termination
Consequences of Termination
Notices
Entire Agreement
Severability
Governing Law
Jurisdiction
Dispute Resolution
Relevant Industries
Financial Services
Banking
Investment Management
Wealth Management
Asset Management
Private Equity
Venture Capital
Insurance
Professional Services
Corporate Finance
Real Estate Investment
Fund Management
Alternative Investments
FinTech
Relevant Teams
Legal
Compliance
Risk Management
Investment Management
Client Relations
Operations
Due Diligence
Product Development
Finance
Regulatory Affairs
Portfolio Management
Wealth Management
Investment Advisory
Fund Administration
Relevant Roles
Investment Manager
Legal Counsel
Compliance Officer
Risk Manager
Portfolio Manager
Client Relationship Manager
Investment Advisor
Wealth Manager
Fund Manager
Chief Investment Officer
Head of Legal
Regulatory Compliance Manager
Investment Operations Manager
Due Diligence Officer
Financial Controller
Chief Risk Officer
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