The Investment Trust Contract is a foundational document used in Hong Kong's financial services sector to establish and govern investment trust arrangements. It serves as the primary legal framework defining the relationships, rights, and obligations among the trustee, investment manager, and unit holders. This document is essential when setting up regulated investment products in Hong Kong, particularly for collective investment schemes and unit trusts. The contract must comply with Hong Kong's regulatory requirements, including the Securities and Futures Ordinance and Trustee Ordinance, while providing detailed provisions for trust administration, investment management, and unit holder protection. It is commonly used by financial institutions, asset managers, and professional trustees operating in Hong Kong's sophisticated financial markets.
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1. Parties: Identifies the trustee, settlor, and investment manager
2. Background: Sets out the context and purpose of establishing the investment trust
3. Definitions and Interpretation: Defines key terms and interpretation rules used throughout the agreement
4. Declaration of Trust: Formal establishment of the trust and initial trust property
5. Investment Objectives and Policy: Defines the trust's investment goals and permitted investment strategies
6. Powers and Duties of Trustee: Details the trustee's authority, responsibilities, and limitations
7. Investment Manager Appointment and Powers: Specifies the role, powers, and duties of the investment manager
8. Trust Administration: Covers operational aspects including valuation, income distribution, and record-keeping
9. Unit Structure and Rights: Details the nature of units, unit holders' rights, and transfer provisions
10. Fees and Expenses: Specifies all fees, charges, and expense allocation
11. Risk Factors and Disclosures: Mandatory risk warnings and disclosures
12. Compliance and Reporting: Details compliance requirements and reporting obligations
13. Amendment and Termination: Procedures for modifying the trust deed and terminating the trust
14. Governing Law and Jurisdiction: Specifies Hong Kong law as governing law and jurisdiction provisions
1. Sub-Fund Structure: Required only for umbrella funds with multiple sub-funds
2. Distribution Policy: Needed for trusts that make regular distributions to unit holders
3. Tax Considerations: Detailed tax provisions where specific tax structuring is required
4. Unit Class Rights: Required when multiple unit classes with different rights are offered
5. Foreign Investment Provisions: Needed when the trust invests in overseas markets
6. Securities Lending: Required if the trust engages in securities lending activities
7. Performance Fee Structure: Include when performance-based fees are part of the fee structure
1. Schedule 1 - Initial Trust Property: Details of the initial assets transferred to the trust
2. Schedule 2 - Investment Restrictions: Detailed investment limitations and restrictions
3. Schedule 3 - Valuation Rules: Detailed methodology for valuing trust assets
4. Schedule 4 - Fee Schedule: Detailed breakdown of all fees and charges
5. Schedule 5 - Subscription and Redemption Procedures: Detailed procedures for unit transactions
6. Appendix A - Form of Transfer Instrument: Standard form for transferring units
7. Appendix B - Anti-Money Laundering Procedures: AML compliance procedures and requirements
8. Appendix C - Conflicts of Interest Policy: Policies for managing potential conflicts of interest
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