The Financial Management Agreement serves as the primary contractual framework for investment management services in Switzerland, establishing the legal relationship between financial services providers and their clients. This document is essential when a client engages a professional investment manager to manage their assets on a discretionary or advisory basis. It must comply with strict Swiss regulatory requirements, including those set forth in the Financial Services Act (FinSA) and Financial Institutions Act (FinIA). The agreement covers crucial aspects such as investment strategy, risk management, fee structures, reporting obligations, and regulatory compliance measures. It is particularly important in the Swiss financial services landscape, known for its sophisticated wealth management services and strong regulatory framework. The document includes specific provisions for client classification, investor protection, and risk disclosure as required by Swiss financial market regulations.
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1. Parties: Identification of the financial manager and the client, including regulatory status and contact details
2. Background: Context of the agreement and brief description of the services to be provided
3. Definitions: Key terms used throughout the agreement, including regulatory and financial terms
4. Scope of Services: Detailed description of financial management services, investment strategy, and limitations
5. Client Classification: Classification of the client according to FinSA categories (private, professional, or institutional)
6. Duties and Responsibilities: Obligations of both parties, including reporting, communication, and decision-making authority
7. Investment Guidelines: Parameters for investments, including permitted asset classes, restrictions, and risk profile
8. Fees and Charges: Compensation structure, calculation methods, and payment terms
9. Reporting and Communications: Frequency and format of portfolio reports, performance updates, and other communications
10. Risk Disclosures: Mandatory risk warnings and acknowledgments as required by Swiss law
11. Conflicts of Interest: Disclosure and management of potential conflicts
12. Data Protection and Confidentiality: Handling of client data and confidential information in accordance with Swiss law
13. Duration and Termination: Term of agreement, termination rights, and procedures
14. Liability and Indemnification: Extent and limitations of liability under Swiss law
15. Final Provisions: Governing law, jurisdiction, amendment procedures, and severability
1. Delegation of Services: Required when certain services will be delegated to third parties
2. Custody Arrangements: Needed when the agreement includes arrangements with custodian banks
3. Foreign Market Trading: Required when investments in foreign markets are contemplated
4. Tax Reporting: Include when tax reporting services are part of the offering
5. Digital Services: Required when offering online portfolio access or digital communications
6. Group Client Provisions: Include for institutional clients with multiple entities or accounts
7. Sustainable Investment Criteria: Include when ESG or sustainable investment criteria are part of the mandate
1. Schedule 1: Fee Schedule: Detailed breakdown of management fees, transaction costs, and other charges
2. Schedule 2: Investment Policy Statement: Detailed investment strategy, objectives, and constraints
3. Schedule 3: Authorized Persons: List of persons authorized to give instructions on behalf of the client
4. Schedule 4: Risk Profile Assessment: Client's risk profile questionnaire and assessment results
5. Schedule 5: Specific Investment Restrictions: Client-specific investment restrictions and preferences
6. Appendix A: General Terms and Conditions: Standard terms and conditions referenced in the main agreement
7. Appendix B: Regulatory Disclosures: Mandatory disclosures required under Swiss financial regulations
8. Appendix C: Data Protection Notice: Detailed information about data processing and privacy practices
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