The Investment Advisory Agreement is essential for regulated investment advisory services in the Philippines, used when a licensed investment adviser provides professional investment guidance to clients. It serves as the primary contractual document establishing the adviser-client relationship, detailing service scope, fees, and obligations while ensuring compliance with the Securities Regulation Code, SEC regulations, and other relevant Philippine laws. This agreement is particularly crucial as it addresses fiduciary responsibilities, risk disclosures, and regulatory requirements specific to the Philippine investment advisory context. The document typically includes comprehensive provisions for client protection, performance reporting, confidentiality, and dispute resolution, reflecting both regulatory requirements and market practices in the Philippine financial services sector.
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1. Parties: Identification of the Investment Adviser and the Client, including complete legal names, addresses, and registration/license details
2. Background: Context of the agreement, including adviser's qualifications and client's investment advisory needs
3. Definitions: Key terms used throughout the agreement, including 'Investment Advisory Services', 'Investment Strategy', 'Portfolio', and regulatory terms
4. Appointment and Scope of Services: Formal appointment of adviser and detailed description of investment advisory services to be provided
5. Representations and Warranties: Statements by both parties regarding their capacity, authority, and compliance with applicable laws
6. Investment Advisory Fees: Fee structure, calculation method, payment terms, and any additional charges
7. Rights and Obligations of the Investment Adviser: Detailed responsibilities, fiduciary duties, reporting obligations, and standard of care
8. Rights and Obligations of the Client: Client's responsibilities, information provision requirements, and cooperation obligations
9. Confidentiality: Obligations regarding confidential information and compliance with Data Privacy Act
10. Conflicts of Interest: Disclosure and management of potential conflicts of interest
11. Term and Termination: Duration of agreement, renewal terms, and grounds for termination
12. Anti-Money Laundering Compliance: AML obligations and procedures as required by Philippine law
13. Notices: Communication procedures and contact details for formal notices
14. Governing Law and Jurisdiction: Specification of Philippine law as governing law and jurisdiction for disputes
15. General Provisions: Standard clauses including amendment process, severability, and entire agreement
1. Discretionary Authority: Required when the adviser has authority to make investment decisions without prior client approval
2. Sub-Advisory Arrangements: Include when the adviser may engage other advisers or sub-advisers
3. Performance Fees: Include when fee structure includes performance-based compensation
4. Foreign Investment Provisions: Required when advisory services include foreign investments
5. Online Services: Include when providing digital platforms or online advisory services
6. Force Majeure: Optional clause addressing unforeseeable circumstances preventing performance
7. Insurance Coverage: Include when specifying required professional indemnity insurance
1. Schedule A - Investment Advisory Services: Detailed description of specific services to be provided
2. Schedule B - Fee Schedule: Comprehensive breakdown of all fees, charges, and payment terms
3. Schedule C - Investment Guidelines: Specific investment objectives, strategies, and restrictions
4. Schedule D - Reporting Requirements: Format, frequency, and content of reports to be provided
5. Appendix 1 - Risk Disclosure Statement: Required disclosures about investment risks
6. Appendix 2 - Compliance Requirements: Specific regulatory compliance requirements and procedures
7. Appendix 3 - Key Personnel: List of key personnel responsible for providing advisory services
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