The Investment Agency Agreement is a critical document used in South African financial services when appointing an agent to manage investments or provide investment-related services. It's essential for compliance with South African financial regulations, particularly the FAIS Act, FICA, and Financial Sector Regulation Act. The agreement typically details the scope of authority granted to the investment agent, investment parameters, risk management procedures, reporting obligations, and fee structures. It's commonly used by financial services providers, asset managers, and investment advisors when taking on new clients or establishing investment management relationships. The document must incorporate specific regulatory requirements unique to South Africa, including FICA compliance procedures and exchange control regulations. It serves as both a commercial and compliance document, protecting the interests of both parties while ensuring regulatory adherence.
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1. Parties: Identification of the Principal and the Investment Agent, including registration numbers and regulatory licenses
2. Background: Context of the agreement, including the Agent's qualifications and the Principal's investment objectives
3. Definitions and Interpretation: Definitions of key terms and interpretation rules, including regulatory terms from FAIS Act
4. Appointment and Scope: Formal appointment of the Agent and detailed scope of investment agency services
5. Regulatory Compliance: Obligations under FAIS Act, FICA, and other relevant legislation
6. Agent's Duties and Responsibilities: Detailed obligations including due diligence, reporting, and fiduciary duties
7. Principal's Obligations: Principal's responsibilities including information provision and cooperation
8. Investment Parameters: Agreed investment criteria, limitations, and risk parameters
9. Fees and Commissions: Fee structure, payment terms, and commission arrangements
10. Reporting and Communication: Regular reporting requirements and communication protocols
11. Risk Disclosures: Mandatory risk warnings and acknowledgments
12. Confidentiality: Confidentiality obligations and data protection requirements under POPIA
13. Duration and Termination: Term of agreement and termination provisions
14. General Provisions: Standard clauses including notices, governing law, and dispute resolution
1. International Investments: Additional provisions for foreign investments, including exchange control compliance
2. Specialized Investment Products: Specific terms for particular investment types (derivatives, private equity, etc.)
3. Sub-Agency Arrangements: Terms governing the appointment of sub-agents if permitted
4. Performance Targets: Optional performance metrics and related incentives
5. Insurance Requirements: Specific insurance obligations beyond regulatory minimums
6. Force Majeure: Provisions for handling extraordinary market events or circumstances
7. Non-Competition: Restrictions on competitive activities if relevant to the relationship
1. Schedule 1: Investment Mandate: Detailed investment objectives, strategy, and restrictions
2. Schedule 2: Fee Schedule: Comprehensive breakdown of fees, charges, and commission structures
3. Schedule 3: Authorized Representatives: List of authorized personnel from both parties
4. Schedule 4: Reporting Templates: Standard formats for regular reporting requirements
5. Schedule 5: Compliance Documentation: Required regulatory forms and compliance certificates
6. Schedule 6: Risk Disclosure Statement: Detailed risk warnings and acknowledgments
7. Appendix A: FICA Requirements: Checklist of required FICA documentation and procedures
8. Appendix B: Investment Products: List of approved investment products and their characteristics
Relevant legal definitions
Affiliate
Agency Services
Applicable Laws
Authorized Representative
Business Day
Commencement Date
Confidential Information
Custody
Due Diligence
Effective Date
FAIS Act
Financial Product
Financial Service Provider
FICA
Investment Mandate
Investment Objectives
Investment Parameters
Investment Period
Investment Portfolio
Investment Strategy
Key Individual
Management Fee
Market Value
Performance Fee
Personal Information
Portfolio
Principal
Professional Indemnity Insurance
Regulated Services
Regulatory Authority
Regulatory Requirements
Representative
Risk Profile
Services
Signature Date
Sub-Agent
Term
Territory
Transaction
Valuation Date
Agency Services
Applicable Laws
Authorized Representative
Business Day
Commencement Date
Confidential Information
Custody
Due Diligence
Effective Date
FAIS Act
Financial Product
Financial Service Provider
FICA
Investment Mandate
Investment Objectives
Investment Parameters
Investment Period
Investment Portfolio
Investment Strategy
Key Individual
Management Fee
Market Value
Performance Fee
Personal Information
Portfolio
Principal
Professional Indemnity Insurance
Regulated Services
Regulatory Authority
Regulatory Requirements
Representative
Risk Profile
Services
Signature Date
Sub-Agent
Term
Territory
Transaction
Valuation Date
Clauses
Appointment
Authority
Regulatory Compliance
Investment Mandate
Duties and Responsibilities
Representations and Warranties
Fees and Commissions
Payment Terms
Reporting
Record Keeping
Risk Disclosure
Confidentiality
Data Protection
Intellectual Property
Non-Competition
Non-Solicitation
Indemnification
Limitation of Liability
Insurance
Force Majeure
Term and Duration
Termination
Assignment
Sub-Contracting
Notices
Dispute Resolution
Governing Law
Entire Agreement
Amendment
Severability
Waiver
Force and Effect
Authority
Regulatory Compliance
Investment Mandate
Duties and Responsibilities
Representations and Warranties
Fees and Commissions
Payment Terms
Reporting
Record Keeping
Risk Disclosure
Confidentiality
Data Protection
Intellectual Property
Non-Competition
Non-Solicitation
Indemnification
Limitation of Liability
Insurance
Force Majeure
Term and Duration
Termination
Assignment
Sub-Contracting
Notices
Dispute Resolution
Governing Law
Entire Agreement
Amendment
Severability
Waiver
Force and Effect
Relevant Industries
Financial Services
Investment Management
Wealth Management
Asset Management
Private Banking
Corporate Finance
Pension Fund Management
Trust Services
Private Equity
Insurance
Real Estate Investment
Capital Markets
Relevant Teams
Legal
Compliance
Investment Management
Risk Management
Client Services
Operations
Portfolio Administration
Wealth Management
Asset Management
Financial Advisory
Investment Analysis
Fund Administration
Relevant Roles
Investment Manager
Financial Advisor
Compliance Officer
Legal Counsel
Portfolio Manager
Wealth Manager
Risk Manager
Investment Consultant
Chief Investment Officer
Financial Services Representative
Trust Administrator
Investment Analyst
Asset Manager
Fund Manager
Client Relationship Manager
Investment Operations Manager
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