Money Management Contract for the United Kingdom

Money Management Contract Template for England and Wales

A Money Management Contract is a legally binding agreement governed by the laws of England and Wales that establishes the terms and conditions under which a professional investment manager will manage financial assets on behalf of a client. The document outlines investment authority, responsibilities, fee structures, reporting requirements, and risk management protocols while ensuring compliance with FCA regulations and UK financial services laws. It provides comprehensive protection for both parties and clearly defines the scope of services and fiduciary duties.

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What is a Money Management Contract?

The Money Management Contract is essential for establishing a formal investment management relationship between professional money managers and their clients in England and Wales. It is commonly used when individuals or institutions seek professional management of their investment portfolios. The contract addresses crucial elements including investment strategy, risk management, fee structures, and reporting requirements while ensuring compliance with FCA regulations and UK financial services legislation. This document provides legal protection for both parties and clearly defines the scope of services, responsibilities, and expectations in the investment management relationship.

What sections should be included in a Money Management Contract?

1. Parties: Identification of the money manager and client, including registration details and addresses

2. Background: Context of the agreement and brief overview of services to be provided

3. Definitions: Key terms used throughout the agreement

4. Services: Detailed description of money management services to be provided

5. Authority and Discretion: Scope of manager's authority to make investment decisions

6. Fees and Charges: Management fees, performance fees, and other applicable charges

7. Reporting and Communications: Frequency and format of financial reports and client communications

8. Obligations and Responsibilities: Duties of both parties including compliance requirements

9. Risk Disclosures: Mandatory risk warnings and investment risk explanations

10. Termination: Conditions and process for ending the agreement

What sections are optional to include in a Money Management Contract?

1. Investment Strategy: Specific investment approach and restrictions when client requires specific investment parameters or restrictions

2. Performance Benchmarks: Agreed performance metrics and targets when specific performance measurements are required

3. Third-Party Arrangements: Details of custodians, brokers, or other service providers when external service providers are involved

4. Client Categorization: Classification of client under FCA rules when dealing with retail or professional clients

What schedules should be included in a Money Management Contract?

1. Fee Schedule: Detailed breakdown of all fees and charges

2. Investment Policy Statement: Detailed investment objectives and constraints

3. Risk Profile Assessment: Client's risk tolerance evaluation

4. Authorized Persons: List of individuals authorized to give instructions

5. Service Level Agreement: Detailed service standards and response times

6. Compliance Documentation: Required regulatory forms and disclosures

Authors

Alex Denne

Head of Growth (Open Source Law) @ Genie AI | 3 x UCL-Certified in Contract Law & Drafting | 4+ Years Managing 1M+ Legal Documents | Serial Founder & Legal AI Author

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Free to use

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Financial Services and Markets Act 2000 (FSMA): Primary legislation governing financial services in the UK, establishing regulatory framework and requirements for financial activities

Financial Services Act 2012: Amended FSMA and established the FCA and PRA as primary financial regulators

Financial Services and Markets Act 2000 (Regulated Activities) Order 2001: Defines which activities require FCA authorization and regulation

FCA Regulations: Detailed rules and guidelines from the Financial Conduct Authority governing conduct in financial services

PRA Requirements: Prudential regulations ensuring financial stability and proper risk management

COBS Rules: Conduct of Business Sourcebook rules detailing how firms should interact with clients

Money Laundering Regulations 2017: Requirements for preventing and detecting money laundering in financial services

Proceeds of Crime Act 2002: Legislation dealing with money laundering and proceeds of criminal conduct

Terrorism Act 2000: Legislation concerning terrorist financing and related financial restrictions

UK GDPR: Data protection and privacy regulations for processing personal information

Data Protection Act 2018: UK's implementation of data protection requirements, complementing UK GDPR

Consumer Rights Act 2015: Key consumer protection legislation establishing rights and business obligations

Consumer Protection from Unfair Trading Regulations 2008: Protects consumers from unfair commercial practices and misleading actions

Unfair Terms in Consumer Contracts Regulations 1999: Protects consumers against unfair standard terms in contracts

Common Law Contract Principles: Established legal principles governing contract formation, terms, and enforcement

Misrepresentation Act 1967: Governs false or misleading statements inducing contract formation

MiFID II (UK Implementation): Regulations governing financial instruments and improving protections for investors

Investment Managers Association Regulations: Industry-specific guidelines and standards for investment management

Alternative Dispute Resolution for Consumer Disputes Regulations 2015: Framework for resolving consumer disputes outside of court

Financial Services and Markets Act 2000 (Rights of Action) Regulations 2001: Establishes private rights of action for breaches of financial services rules

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What is a Money Management Contract?

What sections should be included in a Money Management Contract?

What sections are optional to include in a Money Management Contract?

What schedules should be included in a Money Management Contract?

Authors

Alex Denne

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