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Investment Consulting Agreement

Investment Consulting Agreement Template for Malaysia

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Key Requirements PROMPT example:

Investment Consulting Agreement

"I need an Investment Consulting Agreement for my wealth management firm to provide investment advisory services to high-net-worth individuals in Malaysia, with a focus on ESG investments and quarterly performance reviews starting March 2025."

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Document background
The Investment Consulting Agreement is a critical legal document used when establishing a professional relationship between an investment consultant and clients seeking expert investment advice and guidance in Malaysia. This agreement is essential for compliance with Malaysian financial regulations, particularly the Capital Markets and Services Act 2007 and Securities Commission requirements. It details the scope of consulting services, fee structures, regulatory obligations, and risk management measures. The document is typically used by financial institutions, corporate entities, or high-net-worth individuals seeking professional investment advisory services, and must incorporate specific Malaysian regulatory requirements regarding investment advice, client protection, and financial service provisions. The agreement serves as a comprehensive framework for protecting both parties' interests while ensuring regulatory compliance in the Malaysian financial services sector.
Suggested Sections

1. Parties: Identification of the Investment Consultant and the Client, including registration details and addresses

2. Background: Context of the agreement, consultant's qualifications, and general purpose of the arrangement

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

4. Scope of Services: Detailed description of investment consulting services to be provided

5. Consultant's Obligations: Key responsibilities, duties, and standards of service

6. Client's Obligations: Client's responsibilities, including information provision and cooperation

7. Fees and Payment: Fee structure, payment terms, expenses, and invoicing procedures

8. Regulatory Compliance: Compliance with Malaysian securities laws and regulations

9. Confidentiality: Protection of confidential information and trade secrets

10. Conflicts of Interest: Management and disclosure of potential conflicts

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

12. Liability and Indemnification: Limitation of liability and indemnification provisions

13. General Provisions: Standard boilerplate clauses including governing law, notices, and amendment procedures

Optional Sections

1. Non-Competition: Restrictions on competitive activities, used when sharing sensitive market strategies

2. Intellectual Property: IP ownership and usage rights, needed when developing proprietary investment strategies or tools

3. Data Protection: Specific PDPA compliance measures, required when handling personal data

4. Force Majeure: Protection against unforeseen events, important for long-term agreements

5. Insurance: Insurance requirements, recommended for high-value consulting arrangements

6. Anti-Corruption: Anti-bribery and corruption provisions, crucial for international clients

7. Dispute Resolution: Specific dispute resolution procedures, recommended for complex arrangements

Suggested Schedules

1. Schedule 1 - Services Description: Detailed breakdown of investment consulting services and deliverables

2. Schedule 2 - Fee Schedule: Detailed fee structure, including any performance-based fees

3. Schedule 3 - Service Levels: Performance metrics and service level requirements

4. Schedule 4 - Key Personnel: Details of key team members and their responsibilities

5. Schedule 5 - Compliance Requirements: Specific regulatory requirements and compliance procedures

6. Appendix A - Investment Policy Guidelines: Client's investment objectives and constraints

7. Appendix B - Reporting Requirements: Format and frequency of investment reports and updates

Authors

Alex Denne

Head of Growth (Open Source Law) @ tiktok³ÉÈË°æ | 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

Banking

Investment Management

Wealth Management

Insurance

Pension Funds

Private Equity

Corporate Finance

Real Estate Investment

Asset Management

Family Offices

Professional Services

Relevant Teams

Legal

Compliance

Finance

Investment

Risk Management

Wealth Management

Treasury

Corporate Advisory

Portfolio Management

Client Relations

Operations

Relevant Roles

Chief Investment Officer

Investment Consultant

Financial Advisor

Portfolio Manager

Wealth Manager

Investment Strategist

Risk Manager

Compliance Officer

Legal Counsel

Chief Financial Officer

Investment Director

Fund Manager

Private Banker

Financial Controller

Treasury Manager

Industries








Teams

Employer, Employee, Start Date, Job Title, Department, Location, Probationary Period, Notice Period, Salary, Overtime, Vacation Pay, Statutory Holidays, Benefits, Bonus, Expenses, Working Hours, Rest Breaks,  Leaves of Absence, Confidentiality, Intellectual Property, Non-Solicitation, Non-Competition, Code of Conduct, Termination,  Severance Pay, Governing Law, Entire Agreemen

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