ºÚÁÏÊÓƵ

The Investment Agency Agreement is a crucial document used in the Swiss financial services industry to formalize the relationship between investment professionals and their clients. It is particularly relevant when an investor (principal) wishes to delegate investment management authority to a professional investment manager (agent) regulated under Swiss law. The agreement must comply with Swiss financial regulations, including the Financial Services Act (FinSA) and Financial Institutions Act (FinIA), and typically includes comprehensive provisions on investment authority, regulatory compliance, risk management, reporting obligations, and fee structures. This document is essential for both institutional and private wealth management relationships and must address specific Swiss regulatory requirements regarding client classification, risk disclosure, and fiduciary duties. The agreement serves as the foundational document defining the scope of services, responsibilities, and limitations of the investment management relationship.

1. Parties: Identification of the Principal (investor) and the Agent (investment advisor/manager), including regulatory status and contact details

2. Background: Context of the agreement, including the Agent's qualifications and the Principal's investment needs

3. Definitions: Key terms used throughout the agreement, including investment-related terminology and regulatory definitions

4. Appointment and Scope: Formal appointment of the Agent and detailed scope of investment services to be provided

5. Authority and Limitations: Extent and limitations of the Agent's authority to act on behalf of the Principal

6. Regulatory Compliance: Obligations to comply with Swiss financial regulations, including FinSA and FinIA requirements

7. Duties of the Agent: Detailed responsibilities including investment execution, reporting, and fiduciary obligations

8. Instructions and Communications: Protocols for giving and receiving instructions, and communication requirements

9. Fees and Expenses: Compensation structure, payment terms, and reimbursable expenses

10. Representations and Warranties: Statements of fact and assurances from both parties

11. Risk Disclosures: Mandatory risk warnings and acknowledgments

12. Liability and Indemnification: Extent of Agent's liability and mutual indemnification provisions

13. Confidentiality: Protection of confidential information and data protection compliance

14. Term and Termination: Duration of agreement and circumstances for termination

15. Post-Termination Obligations: Obligations that survive termination and wrap-up procedures

16. General Provisions: Standard legal provisions including governing law, jurisdiction, and amendment procedures