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Investment Advisor Contract

Investment Advisor Contract Template for South Africa

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Key Requirements PROMPT example:

Investment Advisor Contract

"I need an Investment Advisor Contract for my independent advisory practice in South Africa, focusing on high-net-worth individuals with international investment portfolios, including ESG investment options and family office services."

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Document background
The Investment Advisor Contract serves as the foundational document for establishing and governing the professional relationship between investment advisors and their clients in South Africa. This contract is essential for compliance with the Financial Advisory and Intermediary Services (FAIS) Act and other relevant financial sector regulations. It is used when an investment advisor or firm begins a new client relationship, whether with individual or institutional clients, and covers crucial aspects such as service scope, fee structures, risk disclosures, and regulatory compliance requirements. The document is particularly important in the South African context where financial advisory services are strictly regulated, requiring specific disclosures, risk warnings, and compliance procedures. It provides protection for both advisors and clients while ensuring transparency and regulatory compliance in the provision of investment advisory services.
Suggested Sections

1. Parties: Identification of the Investment Advisor and the Client, including registration numbers, FSCA license numbers, and contact details

2. Background: Context of the agreement, advisor's qualifications, and regulatory status

3. Definitions: Key terms used throughout the agreement, including regulatory terms from FAIS Act

4. Appointment and Scope: Formal appointment of the advisor and detailed scope of investment advisory services

5. Regulatory Compliance: Compliance with FAIS Act, FICA, and other applicable regulations

6. Duties and Responsibilities: Detailed obligations of the advisor, including due diligence, reporting, and fiduciary duties

7. Client's Obligations: Client's responsibilities, including providing accurate information and timely responses

8. Fees and Compensation: Fee structure, payment terms, and any performance-based compensation

9. Risk Disclosures: Mandatory risk warnings and acknowledgments as required by regulations

10. Confidentiality: Protection of confidential information and compliance with POPIA

11. Duration and Termination: Term of agreement, renewal provisions, and termination conditions

12. Limitation of Liability: Extent and limitations of advisor's liability within regulatory bounds

13. Dispute Resolution: Process for handling disputes, including regulatory complaint procedures

14. General Provisions: Standard clauses including notices, amendments, and governing law

Optional Sections

1. Delegation and Sub-Advisory: Include when the advisor may need to delegate certain functions to third parties

2. International Investments: Add when dealing with offshore investments or international clients

3. Performance Reporting: Include for clients requiring specific performance measurement metrics

4. Custody Arrangements: Add when the advisor has any role in custody or handling of client assets

5. Social Media and Communications: Include when specific guidelines for social media and electronic communications are needed

6. Environmental, Social and Governance (ESG): Add for clients requiring ESG-focused investment advisory services

7. Group Investment Services: Include when services extend to client's family members or related entities

Suggested Schedules

1. Schedule A - Investment Policy Statement: Detailed investment objectives, strategy, and constraints

2. Schedule B - Fee Schedule: Comprehensive breakdown of all fees, charges, and commission structures

3. Schedule C - Authorized Representatives: List of authorized persons who can give instructions on behalf of client

4. Schedule D - Risk Profile Assessment: Client's risk profile questionnaire and assessment results

5. Schedule E - Services Description: Detailed description of specific services to be provided

6. Appendix 1 - FICA Requirements: List of required FICA documentation and compliance procedures

7. Appendix 2 - Regulatory Disclosures: Mandatory disclosures required by FAIS Act and other regulations

8. Appendix 3 - Complaint Procedures: Detailed procedures for handling client complaints as per FAIS requirements

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

Wealth Management

Asset Management

Insurance

Investment Banking

Private Equity

Pension Fund Management

Corporate Finance

Family Office Services

Relevant Teams

Legal

Compliance

Risk Management

Investment Advisory

Wealth Management

Client Services

Operations

Regulatory Affairs

Investment Strategy

Portfolio Management

Financial Planning

Client Onboarding

Relevant Roles

Investment Advisor

Financial Advisor

Wealth Manager

Portfolio Manager

Compliance Officer

Legal Counsel

Risk Manager

Client Relationship Manager

Investment Consultant

Financial Services Representative

Chief Investment Officer

Head of Advisory Services

Investment Strategist

Senior Financial Planner

Regulatory Affairs 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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