The Investment Advisor Contract serves as the foundational document for establishing and governing the professional relationship between licensed investment advisors and their clients in Malaysia. This document is essential for compliance with the Capital Markets and Services Act 2007 and Securities Commission Malaysia regulations. It's typically used when an advisor or advisory firm begins a new client relationship, whether with individual or institutional investors. The contract comprehensively covers critical elements including service scope, fiduciary responsibilities, fee structures, risk disclosures, and regulatory compliance requirements. It must align with Malaysian financial regulations, anti-money laundering laws, and data protection requirements, while potentially incorporating specific provisions for Islamic finance services where applicable.
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1. Parties: Identification of the investment advisor and the client, including registration/license numbers and contact details
2. Background: Context of the agreement, including advisor's qualifications and client's investment advisory needs
3. Definitions: Key terms used throughout the agreement including investment services, financial instruments, and regulatory terminology
4. Scope of Services: Detailed description of investment advisory services to be provided, including any limitations
5. Advisor's Duties and Responsibilities: Comprehensive outline of the advisor's obligations, including fiduciary duties and regulatory compliance
6. Client's Duties and Responsibilities: Client's obligations including providing accurate information and prompt communication
7. Fees and Payment Terms: Detailed fee structure, payment schedule, and calculation methods
8. Representations and Warranties: Statements of fact and guarantees from both parties
9. Confidentiality: Provisions for handling confidential information and compliance with PDPA 2010
10. Term and Termination: Duration of agreement and circumstances for termination
11. Liability and Indemnification: Limitations of liability and indemnification provisions
12. Governing Law and Jurisdiction: Specification of Malaysian law and jurisdiction
13. General Provisions: Standard clauses including notices, amendments, and severability
1. Digital Services: Required when providing robo-advisory or digital investment services
2. International Investments: Required when advising on foreign investments or cross-border transactions
3. Delegation: Required when certain services may be delegated to third parties
4. Force Majeure: Optional clause for unforeseen circumstances affecting service delivery
5. Non-Competition: Optional restrictions on advisor's activities with competing clients
6. Shariah Compliance: Required when providing Islamic investment advisory services
1. Schedule 1: Fee Schedule: Detailed breakdown of all fees, charges, and commission structures
2. Schedule 2: Investment Policy Statement: Client's investment objectives, risk tolerance, and investment constraints
3. Schedule 3: Risk Disclosure Statement: Comprehensive disclosure of investment risks as required by Malaysian regulations
4. Schedule 4: Authorized Representatives: List of persons authorized to give instructions on behalf of client
5. Appendix A: Advisor's Licenses and Qualifications: Copies of relevant licenses and professional qualifications
6. Appendix B: Compliance Procedures: Details of compliance procedures and reporting requirements
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