The Asset Management Proposal is a critical document used when an asset management firm seeks to formally present its services and investment solutions to potential clients in Hong Kong. It must comply with the Securities and Futures Ordinance (Cap. 571) and various SFC codes and guidelines. The document typically follows engagement discussions with prospective clients and precedes the formal investment management agreement. It contains detailed information about the proposed investment strategy, risk management approach, fee structures, and operational procedures. The proposal needs to incorporate specific regulatory disclosures required by Hong Kong law and should be tailored to whether the client qualifies as a Professional Investor under Hong Kong regulations. This document serves as both a marketing tool and a preliminary framework for the eventual investment relationship.
Thank you! Your submission has been received!
Oops! Something went wrong while submitting the form.
Your data doesn't train Genie's AI
You keep IP ownership聽of your docs
Alternatively...
1. Parties: Identification of the asset manager and the client, including their respective regulatory status and contact details
2. Background: Context of the proposal, including client's objectives and current portfolio status if applicable
3. Definitions: Key terms used throughout the proposal
4. Executive Summary: Overview of the proposed investment strategy and key benefits
5. Investment Philosophy and Approach: Detailed explanation of the asset manager's investment methodology and principles
6. Proposed Investment Strategy: Specific investment strategy tailored to client's objectives, including asset allocation and investment universe
7. Risk Management Framework: Description of risk management processes and controls
8. Performance Reporting: Details of reporting frequency, content, and performance measurement methodology
9. Fee Structure: Comprehensive breakdown of management fees, performance fees, and other charges
10. Service Team: Introduction to key team members and their responsibilities
11. Implementation Process: Timeline and steps for implementing the investment strategy
12. Regulatory Disclosures: Required regulatory disclosures and risk warnings
1. Environmental, Social and Governance (ESG) Integration: Details of ESG investment approach, used when client requires ESG considerations
2. Alternative Investments: Section covering alternative investment strategies, included when relevant to client's investment scope
3. Currency Hedging Strategy: Details of currency risk management, included for international portfolios
4. Tax Considerations: Overview of tax implications, included for complex structures or cross-border investments
5. Transition Management: Strategy for transitioning existing portfolio, included when client has existing investments
6. Securities Lending Program: Details of securities lending capabilities, included if relevant to strategy
7. Co-Investment Opportunities: Framework for co-investment possibilities, included for institutional clients
8. Digital Access Services: Description of online portfolio access and tools, included when digital services are offered
1. Schedule 1 - Investment Guidelines: Detailed investment restrictions, limits, and guidelines
2. Schedule 2 - Fee Schedule: Detailed breakdown of all fees, charges, and calculation methodologies
3. Schedule 3 - Performance Track Record: Historical performance data of similar strategies
4. Schedule 4 - Risk Disclosures: Comprehensive risk warnings and scenario analyses
5. Appendix A - Team Biographies: Detailed profiles of key investment professionals
6. Appendix B - Investment Process Flowcharts: Visual representations of investment decision-making processes
7. Appendix C - Operational Due Diligence: Details of operational infrastructure and controls
8. Appendix D - Sample Reports: Examples of client reporting formats and contents
9. Appendix E - Regulatory Licenses: Copies of relevant regulatory licenses and registrations
Authors
Find the document you need
Request For Proposal Tender
A Hong Kong law-governed formal document inviting suppliers to submit detailed proposals for goods or services, structured to ensure compliance with local procurement regulations.
Download
RFP Decline Letter
A formal letter used in Hong Kong to decline a vendor's RFP submission while maintaining professional relationships and legal compliance.
Download
Request For Proposal Security Guard Services
A Hong Kong-compliant RFP template for procuring security guard services, incorporating local regulatory requirements and industry standards.
Download
Request To Cease And Desist Letter
A formal legal notice under Hong Kong law demanding immediate cessation of specified wrongful conduct, serving as an initial step in dispute resolution.
Download
Request For Proposal Asset Management
A Hong Kong-compliant Request for Proposal document for soliciting asset management services under SFC regulations.
Download
Proposal For Additional Headcount
A formal business proposal document used in Hong Kong to request and justify additional staffing resources, aligned with local employment regulations.
Download
Cleaning Contract
A Hong Kong law-governed agreement establishing terms and conditions for professional cleaning services, including scope, standards, and regulatory compliance.
Download
Fbo Account Agreement
A Hong Kong-governed agreement establishing an FBO account arrangement between a bank, account holder, and beneficiary, detailing operational and compliance requirements.
Download
Evaluation License Agreement
A Hong Kong law-governed agreement allowing temporary access to proprietary technology or software for evaluation purposes.
Download
Asset Management Proposal
A Hong Kong law-governed proposal outlining an asset manager's investment strategy and services, compliant with SFC requirements.
Download
Request For Proposal Services
A Hong Kong-compliant template for formally requesting and evaluating service proposals from potential providers.
Download
Request For Proposal And Request For Quotation
A Hong Kong law-governed RFP/RFQ document used to solicit detailed proposals and pricing from potential vendors.
Download
骋别苍颈别鈥檚 Security Promise
Genie is the safest place to draft. Here鈥檚 how we prioritise your privacy and security.
Your data is private:
We do not train on your data; 骋别苍颈别鈥檚 AI improves independently
All data stored on Genie is private to your organisation
Your documents are protected:
Your documents are protected by ultra-secure 256-bit encryption
We are ISO27001 certified, so your data is secure
Organizational security:
You retain IP ownership of your documents and their information
You have full control over your data and who gets to see it
