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Brokerage / Securities Trading Client Agreement

Brokerage / Securities Trading Client Agreement

Discretionary Investment Management Agreement

This is a discretionary investment management agreement between the investment manager, the broker and the client covering issues such as risk assessment, management and performance fees.

The Investment Manager is a corporation licensed by Regulator (defined below) to carry out, inter alia, asset management related regulated activities. The Investment Manager shall act as investment manager of the Client in respect of the Account and shall perform such duties as are customarily performed by an investment manager of an investment portfolio or as may be agreed from time to time between the Client and the Investment Manager.

The Broker is a corporation licensed by Regulator (defined below) to carry out, inter alia, securities dealing related regulated activities.

The Client has entered into the Account Agreement with the Broker and the Client is the holder of the Account. The client also appoints the Investment Manager to act, on an exclusive basis in respect of the Account, as investment manager of the Client in accordance with the terms of this Agreement, with effect from the date of this Agreement until its appointment is terminated in accordance with the terms of this Agreement. 

How to use this Document?

This document should be carefully read by the Investment Manager, the Broker, and the Client. All parties should sign and return a copy, and once signed, all parties should get a copy.

This document can be used as a template for a discretionary investment management agreement between the investment manager, the broker and the client covering issues such as risk assessment, management and performance fees.

You may customise the template by including details such as the name of the financial regulation in the jurisdiction, trading days notice required for the client to withdraw from the account / make additional cash deposit into the account / for either party to terminate the agreement, the management and performance fee per annum, and the details and particulars of the client.

This document should also be signed in the presence of witnesses

How to Tailor the Document for Your Need?

1. Click the “Create Document” button and fill in the details of the parties. You can click the “Fill with Member’s Information” button to complete the party’s information with your personal or business information saved to your account.

2. Please fill in any additional information by following the step-by-step guide on the left-hand side of the preview document and click the “Next” button.

3. When you are done, click the “Get Document” button and you can download the document in Word or PDF format.

4. Please review the document carefully and make any final modifications to ensure that the details are correct before sending to the addressee. 

 
client agreement
financial institution
broker
brokerage
securities
securities trading
discretionary account
investment management
investment account
discretionary trading
trading account
investment
management
risk assessment
performance fee
management fee
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