The Asset Management Agreement is a critical document used to establish and regulate the professional relationship between licensed asset managers and their clients in Malta. It is essential for any entity providing portfolio management services under Maltese financial services legislation and EU regulatory frameworks. The agreement typically includes detailed provisions on investment strategy, risk parameters, fee structures, reporting obligations, and regulatory compliance requirements. It must comply with the Investment Services Act (Chapter 370 of the Laws of Malta), MFSA Investment Services Rules, and relevant EU directives such as MiFID II. The document is particularly important in Malta's context as a growing European financial center, where asset managers serve both local and international clients across various investment strategies and asset classes.
Asset Management Agreement for Malta
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Key Requirements PROMPT example:
Asset Management Agreement
"I need an Asset Management Agreement for a Malta-based investment firm managing a high-net-worth individual's portfolio of €5M+, with discretionary authority to invest in EU-listed securities and bonds, to be effective from March 1, 2025."
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1. Parties: Identification of the asset manager and the client, including regulatory status and contact details
2. Background: Context of the agreement, including client classification and nature of services
3. Definitions and Interpretation: Key terms used throughout the agreement and interpretation rules
4. Appointment and Scope of Authority: Formal appointment of the asset manager and extent of discretionary authority
5. Services and Investment Objectives: Detailed description of services and agreed investment strategy
6. Client's Representations and Warranties: Client's confirmations regarding their status, authority, and understanding
7. Manager's Obligations: Core duties, standard of care, and regulatory compliance obligations
8. Investment Guidelines and Restrictions: Permitted investments, restrictions, and risk parameters
9. Fees and Expenses: Management fees, performance fees, expenses, and payment terms
10. Reporting and Valuations: Frequency and content of reports, valuation methodology
11. Conflicts of Interest: Disclosure and management of potential conflicts
12. Liability and Indemnification: Limitations of liability and mutual indemnification provisions
13. Term and Termination: Duration, termination rights, and consequences of termination
14. Confidentiality: Protection of confidential information and data protection obligations
15. Notices: Communication methods and contact details
16. General Provisions: Standard boilerplate clauses including governing law, amendments, etc.
1. Custody Arrangements: Include when the manager arranges custody services or interfaces with third-party custodians
2. Third Party Arrangements: Required when delegating functions to third parties or using sub-managers
3. Electronic Services: Include when providing online portfolio access or electronic trading facilities
4. Foreign Account Provisions: Required for clients subject to foreign regulations (e.g., FATCA)
5. Performance Benchmarks: Include when specific performance measurement criteria are agreed
6. Client Advisory Committee: For institutional clients requiring oversight committees
7. Multiple Portfolio Management: When managing multiple portfolios or accounts for the same client
8. Securities Lending: If securities lending activities are permitted
1. Investment Guidelines: Detailed investment restrictions, asset allocation, and risk parameters
2. Fee Schedule: Detailed breakdown of all fees, charges, and calculation methodologies
3. Authorized Persons: List of persons authorized to give instructions on behalf of the client
4. Reporting Requirements: Templates and specifications for periodic reports
5. Risk Disclosures: Detailed risk warnings and client acknowledgments
6. Conflicts of Interest Policy: Detailed policy for managing conflicts of interest
7. Data Protection Terms: Detailed terms for compliance with GDPR and local data protection laws
8. Best Execution Policy: Details of the manager's execution policy as required by MiFID II
Authors
Relevant legal definitions
Agreement
Applicable Laws
Assets
Assets Under Management
Authorized Person
Best Execution
Business Day
Client
Client Assets
Confidential Information
Custodian
Custody Agreement
Data Protection Laws
Discretionary Management
Effective Date
Eligible Assets
Event of Default
FATCA
Fee Schedule
Financial Instruments
Force Majeure
GDPR
Investment Guidelines
Investment Objectives
Investment Policy
Investment Restrictions
Investment Services Act
Investment Strategy
Key Performance Indicators
Management Fee
Market Rules
MFSA
MiFID II
Net Asset Value
Performance Fee
Performance Period
Portfolio
Professional Client
Regulatory Authority
Retail Client
Risk Profile
Securities
Services
Statement of Account
Sub-Manager
Term
Transaction
Valuation Date
Valuation Point
Value
Investment Parameters
Reporting Period
Investment Powers
Client Money
Benchmark
Dealing Day
Counterparty
Related Party
Material Adverse Change
Professional Investor
Regulated Market
Applicable Laws
Assets
Assets Under Management
Authorized Person
Best Execution
Business Day
Client
Client Assets
Confidential Information
Custodian
Custody Agreement
Data Protection Laws
Discretionary Management
Effective Date
Eligible Assets
Event of Default
FATCA
Fee Schedule
Financial Instruments
Force Majeure
GDPR
Investment Guidelines
Investment Objectives
Investment Policy
Investment Restrictions
Investment Services Act
Investment Strategy
Key Performance Indicators
Management Fee
Market Rules
MFSA
MiFID II
Net Asset Value
Performance Fee
Performance Period
Portfolio
Professional Client
Regulatory Authority
Retail Client
Risk Profile
Securities
Services
Statement of Account
Sub-Manager
Term
Transaction
Valuation Date
Valuation Point
Value
Investment Parameters
Reporting Period
Investment Powers
Client Money
Benchmark
Dealing Day
Counterparty
Related Party
Material Adverse Change
Professional Investor
Regulated Market
Clauses
Appointment
Authority
Services
Investment Objectives
Investment Restrictions
Representations and Warranties
Client Instructions
Best Execution
Fees and Expenses
Performance Fees
Reporting
Valuations
Risk Disclosure
Conflicts of Interest
Client Classification
Delegation
Sub-Management
Custody
Client Money
Confidentiality
Data Protection
Record Keeping
Regulatory Compliance
Anti-Money Laundering
Force Majeure
Limitation of Liability
Indemnification
Termination
Events of Default
Assignment
Amendment
Notices
Governing Law
Jurisdiction
Dispute Resolution
Entire Agreement
Severability
Third Party Rights
Electronic Communications
Client Acknowledgments
Service Standards
Professional Secrecy
Market Abuse Prevention
Transaction Reporting
Research Services
Voting Rights
Authority
Services
Investment Objectives
Investment Restrictions
Representations and Warranties
Client Instructions
Best Execution
Fees and Expenses
Performance Fees
Reporting
Valuations
Risk Disclosure
Conflicts of Interest
Client Classification
Delegation
Sub-Management
Custody
Client Money
Confidentiality
Data Protection
Record Keeping
Regulatory Compliance
Anti-Money Laundering
Force Majeure
Limitation of Liability
Indemnification
Termination
Events of Default
Assignment
Amendment
Notices
Governing Law
Jurisdiction
Dispute Resolution
Entire Agreement
Severability
Third Party Rights
Electronic Communications
Client Acknowledgments
Service Standards
Professional Secrecy
Market Abuse Prevention
Transaction Reporting
Research Services
Voting Rights
Relevant Industries
Financial Services
Investment Management
Banking
Insurance
Wealth Management
Private Banking
Fund Management
Pension Management
Corporate Treasury
Family Office Services
Alternative Investments
Real Estate Investment
Relevant Teams
Legal
Compliance
Risk Management
Investment Management
Client Relations
Operations
Portfolio Management
Wealth Management
Fund Administration
Business Development
Executive Management
Finance
Due Diligence
Relevant Roles
Chief Investment Officer
Portfolio Manager
Investment Manager
Compliance Officer
Legal Counsel
Risk Manager
Client Relationship Manager
Investment Advisor
Wealth Manager
Operations Manager
Fund Manager
Managing Director
Chief Executive Officer
Chief Financial Officer
Chief Risk Officer
Chief Legal Officer
Chief Compliance Officer
Investment Director
Private Banker
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