Money Management Contract for the United States

Money Management Contract Template for United States

A Money Management Contract is a legally binding agreement governed by U.S. federal and state securities laws that establishes the relationship between an investment manager and their client. The document outlines the scope of services, investment authority, fees, reporting requirements, and fiduciary responsibilities. It must comply with SEC regulations, state-specific requirements, and relevant federal legislation including the Investment Advisers Act of 1940 and Dodd-Frank Act.

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What is a Money Management Contract?

The Money Management Contract serves as the foundational document governing the relationship between investment professionals and their clients in the United States. It is essential when a client delegates investment authority to a professional manager, whether for individual wealth management, institutional investments, or retirement accounts. The contract addresses crucial aspects including investment strategy, risk management, fee structures, and reporting requirements, while ensuring compliance with SEC regulations, state securities laws, and federal statutes. This document is particularly important for establishing clear boundaries of authority and responsibilities in investment relationships.

What sections should be included in a Money Management Contract?

1. Parties: Identifies all parties to the agreement, including manager and client details

2. Background: Context of the agreement and general purpose

3. Definitions: Key terms used throughout the agreement

4. Services: Detailed description of money management services to be provided

5. Authority and Discretion: Scope of manager's authority to make investment decisions

6. Fees and Compensation: Fee structure, payment terms, and calculation methods

7. Reporting and Communications: Frequency and type of reports, communication protocols

8. Term and Termination: Duration of agreement and termination provisions

What sections are optional to include in a Money Management Contract?

1. Investment Guidelines: Specific investment restrictions or preferences - used when client has specific investment requirements or restrictions

2. Custody Arrangements: Details about third-party custodian arrangements - used when assets are held by a third-party custodian

3. Risk Disclosures: Detailed risk warnings and acknowledgments - used when managing high-risk investments or for regulatory compliance

4. ERISA Provisions: Specific provisions for retirement accounts - used when managing ERISA-covered retirement funds

What schedules should be included in a Money Management Contract?

1. Fee Schedule: Detailed breakdown of all fees and charges

2. Investment Policy Statement: Detailed investment objectives and constraints

3. Power of Attorney: Legal authority to manage accounts

4. Risk Disclosure Statement: Detailed risk warnings and acknowledgments

5. Account Registration Forms: Required account setup documentation

Authors

Alex Denne

Head of Growth (Open Source Law) @ Genie AI | 3 x UCL-Certified in Contract Law & Drafting | 4+ Years Managing 1M+ Legal Documents | Serial Founder & Legal AI Author

Cost

Free to use

Relevant legal definitions

Clauses

Relevant Industries

Financial Services
Asset Management
Private Banking
Investment Advisory

Relevant Teams

Investment Management
Compliance
Legal
Operations
Client Services

Relevant Roles

Investment Manager
Portfolio Manager
Wealth Advisor
Compliance Officer
Chief Investment Officer

Industries

Investment Advisers Act of 1940: Federal law that regulates investment advisers and requires registration with the SEC for firms managing above certain thresholds

Securities Exchange Act of 1934: Fundamental federal law governing securities trading, broker-dealers, and securities exchanges in the United States

Investment Company Act of 1940: Federal law regulating the organization and operation of investment companies, including mutual funds

Dodd-Frank Act: Comprehensive financial reform legislation enacted in response to the 2008 financial crisis, affecting various aspects of financial services including money management

Bank Secrecy Act: Requires financial institutions to assist government agencies in detecting and preventing money laundering

Anti-Money Laundering Regulations: Set of procedures and requirements designed to prevent and detect money laundering activities in financial services

USA PATRIOT Act: Includes provisions for strengthening anti-money laundering procedures and customer identification requirements

Blue Sky Laws: State-specific securities regulations that govern the offering and sale of securities to protect investors from fraudulent activities

State Investment Adviser Requirements: State-specific registration and compliance requirements for investment advisers operating within state jurisdictions

State Fiduciary Duty Laws: State-specific laws governing the fiduciary responsibilities of money managers to their clients

SEC Regulations: Rules and requirements set by the Securities and Exchange Commission governing securities markets and investment management

FINRA Rules: Regulatory requirements set by the Financial Industry Regulatory Authority for member firms and associated persons

ERISA: Employee Retirement Income Security Act governing retirement account management and fiduciary responsibilities

Internal Revenue Code: Tax law provisions affecting investment management and reporting requirements

Gramm-Leach-Bliley Act: Federal law requiring financial institutions to explain their information-sharing practices and protect sensitive data

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What is a Money Management Contract?

What sections should be included in a Money Management Contract?

What sections are optional to include in a Money Management Contract?

What schedules should be included in a Money Management Contract?

Authors

Alex Denne

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