The Financial Investment Agreement serves as the primary contractual framework for investment relationships in South Africa, establishing the legal and operational parameters between investment service providers and investors. This document is essential when establishing professional investment management services, whether for individual or institutional investors, and must comply with South African regulatory requirements including the Financial Advisory and Intermediary Services Act (FAIS), Financial Intelligence Centre Act (FICA), and Financial Sector Regulation Act. The agreement typically details investment strategies, risk management approaches, fee structures, reporting requirements, and investor rights while incorporating necessary safeguards and disclosures mandated by South African financial sector regulators. It is particularly relevant for both domestic and cross-border investment activities, requiring careful consideration of exchange control regulations and international investment standards.
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1. Parties: Identification and details of the investment provider/manager and the investor, including registration numbers and contact details
2. Background: Context of the investment agreement, including the purpose and nature of the investment relationship
3. Definitions and Interpretation: Detailed definitions of terms used in the agreement and rules for interpretation
4. Investment Amount and Terms: Specification of the investment amount, investment period, and key investment terms
5. Investment Strategy and Objectives: Detailed description of the investment strategy, objectives, and any investment restrictions
6. Fees and Charges: Comprehensive breakdown of all fees, charges, and commissions applicable to the investment
7. Risk Disclosure: Detailed disclosure of all investment risks and risk management procedures
8. Representations and Warranties: Statements of fact and assurances from both parties regarding their capacity and authority
9. Regulatory Compliance: Obligations regarding FICA, FAIS Act, and other relevant regulatory requirements
10. Reporting and Valuations: Requirements for investment reporting, frequency of valuations, and performance metrics
11. Termination Rights: Conditions and procedures for terminating the investment agreement
12. Confidentiality: Obligations regarding confidential information and data protection
13. Dispute Resolution: Procedures for handling disputes, including jurisdiction and governing law
14. General Provisions: Standard contractual provisions including notices, amendments, and assignment rights
1. Foreign Investment Provisions: Required when the investment involves cross-border transactions or foreign investors, addressing exchange control regulations
2. Borrowing Powers: Include when the investment strategy may involve leverage or borrowing
3. Co-Investment Rights: Required when other investors may participate in the same investment vehicle
4. Key Person Provisions: Include when specific individuals are crucial to the investment management
5. Side Letter Terms: Required when incorporating terms from side letters with specific investors
6. ESG Considerations: Include when environmental, social, and governance factors are part of the investment strategy
7. Performance Fee Structure: Required when performance-based fees are part of the compensation structure
1. Investment Policy Statement: Detailed description of investment policies, restrictions, and guidelines
2. Fee Schedule: Detailed breakdown of all fees, charges, and calculation methodologies
3. FICA Requirements: List of required documentation and procedures for FICA compliance
4. Risk Disclosure Statement: Comprehensive disclosure of all investment risks and risk factors
5. Authorized Signatories: List of authorized persons who can give instructions on behalf of the investor
6. Investment Performance Benchmarks: Detailed description of performance measurement criteria and benchmarks
7. Valuation Methodology: Detailed procedures for calculating investment valuations
8. Reporting Templates: Standard formats for regular investment reports and communications
Relevant legal definitions
Accounting Period
Affiliate
Agreement
Applicable Law
Asset Class
Authorized Person
Benchmark
Business Day
Commencement Date
Confidential Information
Custodian
Effective Date
Encumbrance
FAIS Act
FICA
Financial Year
Force Majeure Event
FSP License
FSCA
Investment Amount
Investment Guidelines
Investment Horizon
Investment Manager
Investment Mandate
Investment Objectives
Investment Period
Investment Policy Statement
Investment Portfolio
Investment Strategy
Investment Universe
Key Person
Management Fee
Market Value
Material Adverse Change
Net Asset Value
Performance Fee
Portfolio Performance
Professional Investor
Qualified Investor
Redemption
Regulatory Authority
Related Party
Reporting Currency
Risk Profile
SARB
Securities
Service Provider
Settlement Date
Subscription
Termination Date
Transaction
Valuation Date
Valuation Period
Affiliate
Agreement
Applicable Law
Asset Class
Authorized Person
Benchmark
Business Day
Commencement Date
Confidential Information
Custodian
Effective Date
Encumbrance
FAIS Act
FICA
Financial Year
Force Majeure Event
FSP License
FSCA
Investment Amount
Investment Guidelines
Investment Horizon
Investment Manager
Investment Mandate
Investment Objectives
Investment Period
Investment Policy Statement
Investment Portfolio
Investment Strategy
Investment Universe
Key Person
Management Fee
Market Value
Material Adverse Change
Net Asset Value
Performance Fee
Portfolio Performance
Professional Investor
Qualified Investor
Redemption
Regulatory Authority
Related Party
Reporting Currency
Risk Profile
SARB
Securities
Service Provider
Settlement Date
Subscription
Termination Date
Transaction
Valuation Date
Valuation Period
Clauses
Appointment
Investment Terms
Investment Strategy
Investment Restrictions
Representations and Warranties
Risk Disclosure
Fees and Expenses
Payment Terms
Performance Measurement
Reporting Requirements
Regulatory Compliance
FICA Compliance
Anti-Money Laundering
Client Due Diligence
Confidentiality
Data Protection
Investment Powers
Investment Discretion
Custody Arrangements
Valuation
Risk Management
Conflict of Interest
Force Majeure
Termination
Assignment
Amendment
Notices
Dispute Resolution
Governing Law
Jurisdiction
Indemnification
Liability
Best Execution
Client Instructions
Record Keeping
Entire Agreement
Severability
Counterparts
Investment Terms
Investment Strategy
Investment Restrictions
Representations and Warranties
Risk Disclosure
Fees and Expenses
Payment Terms
Performance Measurement
Reporting Requirements
Regulatory Compliance
FICA Compliance
Anti-Money Laundering
Client Due Diligence
Confidentiality
Data Protection
Investment Powers
Investment Discretion
Custody Arrangements
Valuation
Risk Management
Conflict of Interest
Force Majeure
Termination
Assignment
Amendment
Notices
Dispute Resolution
Governing Law
Jurisdiction
Indemnification
Liability
Best Execution
Client Instructions
Record Keeping
Entire Agreement
Severability
Counterparts
Relevant Industries
Financial Services
Banking
Investment Management
Wealth Management
Private Equity
Asset Management
Insurance
Pension Funds
Real Estate Investment
Venture Capital
Corporate Finance
Professional Services
Relevant Teams
Legal
Compliance
Investment Management
Risk Management
Operations
Client Services
Finance
Due Diligence
Portfolio Management
Wealth Management
Corporate Advisory
Investment Administration
Treasury
Product Development
Relevant Roles
Chief Investment Officer
Portfolio Manager
Investment Analyst
Compliance Officer
Legal Counsel
Risk Manager
Financial Advisor
Investment Consultant
Fund Manager
Wealth Manager
Investment Director
Chief Financial Officer
Operations Manager
Client Relationship Manager
Due Diligence Officer
Investment Administrator
Corporate Treasurer
Investment Committee Member
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