Mutual Fund Agreement

Mutual Fund Agreement Template for India

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Key Requirements PROMPT example:

"I need a Mutual Fund Agreement for a retail investment scheme launching in March 2025, with specific provisions for digital transactions and systematic investment plans targeting first-time investors in India."

Document background

The Mutual Fund Agreement serves as the foundational document for establishing and managing mutual fund investments in India. It is essential when investors wish to participate in professionally managed investment schemes regulated by the Securities and Exchange Board of India (SEBI). This agreement captures the entire framework of the investment relationship, including fund operations, investor rights, regulatory compliance requirements, and risk disclosures. It is structured to comply with the SEBI (Mutual Funds) Regulations, 1996, and other applicable Indian laws, making it suitable for both retail and institutional investors seeking to invest in Indian mutual fund schemes. The document provides comprehensive coverage of investment terms, operational procedures, and protective measures while ensuring transparency and regulatory compliance.

Suggested Sections

1. Parties: Identification of the Asset Management Company, Trustees, and the Investor(s)

2. Background: Context of the agreement, including the establishment of the mutual fund and its registration with SEBI

3. Definitions: Key terms used throughout the agreement, including technical and regulatory terminology

4. Investment Terms: Details of investment amount, unit allocation, and NAV calculation methodology

5. Rights and Obligations of the Investor: Investor's rights, voting rights, and responsibilities including KYC compliance

6. Rights and Obligations of the Fund Manager: AMC's responsibilities, investment decisions, portfolio management, and reporting obligations

7. Fee Structure: Management fees, expense ratio, exit load, and other applicable charges

8. Risk Disclosure: Comprehensive disclosure of investment risks and market-related uncertainties

9. Unit Operations: Procedures for purchase, redemption, and transfer of units

10. Distributions: Policy on dividend/income distribution and reinvestment options

11. Reporting and Communications: Requirements for periodic reporting, account statements, and communications

12. Term and Termination: Duration of the agreement and conditions for termination

13. Governing Law and Jurisdiction: Applicable laws and jurisdiction for dispute resolution

14. Confidentiality: Protection of confidential information and investor privacy

15. Representations and Warranties: Standard declarations by both parties regarding their capacity and authority

Optional Sections

1. Electronic Services: Terms for online access and digital transactions, optional for investors choosing digital services

2. Systematic Investment Plans: Terms for regular investment options, included when SIP facility is chosen

3. Nominee Provisions: Details of nomination facility, optional but recommended for individual investors

4. International Investing: Additional terms for schemes with international investments, included for relevant funds

5. Corporate Investor Provisions: Special terms for corporate/institutional investors, included when applicable

6. Power of Attorney: Terms for operating through PoA holders, included when relevant

7. Minor Account Operations: Special provisions for investments on behalf of minors

Suggested Schedules

1. Schedule A - Fund Details: Specific details of the mutual fund scheme, investment objectives, and strategy

2. Schedule B - Fee Schedule: Detailed breakdown of all applicable fees, charges, and their calculation methods

3. Schedule C - KYC Requirements: List of required KYC documents and compliance procedures

4. Schedule D - Risk Factors: Detailed description of scheme-specific risks and market risks

5. Appendix 1 - Investment Declaration: Standard declarations and confirmations from the investor

6. Appendix 2 - Transaction Procedures: Detailed procedures for various types of transactions

7. Appendix 3 - Valuation Policy: Methodology for valuation of various types of investments

8. Appendix 4 - Distribution Policy: Detailed policy on distributions and reinvestment procedures

Authors

Alex Denne

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

alex.den.21@genieai.co

Relevant legal definitions

Clauses

Relevant Industries

Financial Services

Investment Management

Banking

Asset Management

Wealth Management

Financial Technology

Professional Services

Regulatory Compliance

Legal Services

Relevant Teams

Legal

Compliance

Investment Management

Risk Management

Operations

Client Services

Regulatory Affairs

Finance

Administration

Portfolio Management

Wealth Advisory

Relevant Roles

Legal Counsel

Compliance Officer

Fund Manager

Investment Advisor

Risk Manager

Portfolio Manager

Chief Financial Officer

Company Secretary

Investment Operations Manager

Client Relationship Manager

Regulatory Affairs Director

Trust Administrator

Investment Analyst

Financial Advisor

Wealth Manager

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