The Investment Advisory Agreement Template serves as a foundational document for establishing professional investment advisory relationships in Singapore. It is designed to meet the stringent regulatory requirements of the Monetary Authority of Singapore (MAS), incorporating necessary provisions for compliance with the Securities and Futures Act (SFA) and Financial Advisers Act (FAA). This agreement should be used when formalizing arrangements between licensed investment advisors and their clients, whether individual or institutional, and includes comprehensive coverage of service scope, fee structures, risk disclosures, compliance obligations, and fiduciary responsibilities.
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1. Parties: Identifies and defines the investment advisor and client, including their registered addresses and registration details
2. Background: Establishes context, advisor's licensing status, and general purpose of the agreement
3. Definitions: Defines key terms used throughout the agreement
4. Services: Details the scope of investment advisory services to be provided
5. Fees and Payment: Outlines fee structure, payment terms, and any additional charges
6. Representations and Warranties: Standard declarations by both parties regarding capacity, authority, and compliance
7. Confidentiality: Provisions regarding handling of confidential information and client data
8. Term and Termination: Duration of agreement and circumstances for termination
9. Governing Law: Specifies Singapore law as governing law and jurisdiction
1. Risk Disclosures: Detailed risk warnings for specific investment types - used when dealing with complex investment products or retail clients
2. Performance Reporting: Methodology and frequency of performance reporting - used when providing ongoing portfolio management services
3. Third Party Arrangements: Details of any third-party service providers or delegates - used when services involve external parties
4. Foreign Account Provisions: Specific provisions for foreign accounts or clients - used when dealing with international clients
1. Schedule of Fees: Detailed breakdown of all applicable fees and charges
2. Investment Mandate: Specific investment objectives, strategies, and restrictions
3. Risk Disclosure Statement: Comprehensive risk disclosures required by MAS
4. Client Information Form: KYC information and investment profile assessment
5. Compliance Procedures: Internal compliance procedures and requirements
6. Data Protection Notice: Detailed PDPA compliance provisions and procedures
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