9+ Investment Advisory Contract Templates in PDF | DOC

investmentadvisorycontracttemplates

An investment Advisory Agreement Contract refers to an agreement or a contract (including any side letters or other related written contracts), wherein the Company along with its subsidiaries, and/or a third party that has been approved, offers investment advisory or consulting services or sub-consulting services to or manages any investment or trading account of any Customer. This can be as a general partner, managing director, advisor or even a sub-advisor or otherwise.

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9+ Investment Advisory Contract Templates in PDF | DOC

1. Investment Advisory Contract

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2. Investment Plan  Advisory Contract

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Size: 255.5 KB

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3. Model Rule Contents of Investment Advisory Contract

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4. Investment Advisory and Distribution Contract

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5. Sample Investment Advisory Contract

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6. Investment Advisory Contract for Ongoing Portfolio Management

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Size: 156.8 KB

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8. Client Investment Advisory Contract

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Size: 137.2 KB

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9. Investment Advisory Contract and Limited Power of Attorney

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Size: 71.2 KB

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10. Investment Advisory Contract in DOC

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How to Draft an Investment Contract?

Start With the Opening Recital

The opening recital will specify the date the arrangement is entered into, as well as the names and addresses of both contracting parties. Use the business name and address where appropriate, as the connection with the client will be listed later in the agreement.

Develop the ‘Whereas’ Statement

It essentially says that “Whereas” the first firm seeks investment in its project, and “Whereas” the second company is willing to invest. You can follow it up with the statement stating “therefore.” This usually reads as “Therefore, the parties agree as follows in the light of the covenants and agreements considered hereafter:”.

List the Required Articles

The articles comprise of all that was previously discussed and agreed upon. As a part of the contract, the same now take written form. You can list the articles one by one; they should appear as “Article 1,” “Article 2” and so on. In the case of an investment contract, the standard articles consist of the amount of money to be spent, how the investment will be used and what the investor should hope for their financial contribution to obtain in return.

List the Payment Terms

Payment terms vary from company to company and often depend on how large an investment gets. Sometimes the investment is given as a lump sum payment, in which case you should list the amount of the transfer, the agreed date and the details of the receiving bank account. When the investment is spread across several installments, it is sensible to refer to an attachment. It specifies the dates and amounts in the receiving bank account for each transfer.

Identify Any Deliverables

Often the investment would require specific deadlines to meet certain targets, or goods to be produced as a result of business activities. Such items are known as deliverables. The returns need to be listed, along with each due date, in the investment contract.

Identify the Term and Termination

The term of the contract defines the period of validity of the agreement and is the length of time needed by the investor to make the financial commitment and obtain the negotiated return on investment (ROI). The termination element specifies how the contract will end, and how the parties concerned will terminate the contract early.

Provide the Basic Info

This section of the contract will include the name, title, address, phone number, email address and other relevant contact details of both parties. In other words, this section will consist of the basic information of the involved parties.

Clarify the Choice of Law

The law generally varies from one place to another. And because of this, it is important to state explicitly which state will have authority over the contract.

Insert the Signature

There should be at least two witnesses in the presence of whom each party will sign the contract. Each witness must sign the contract, too. Ideally, one witness should be a Notary Public and will be required to notarize the signatures, although this is not generally mandatory. It is advisable to have two copies signed by the parties; this way each party will have a copy.

Terms of an Investment Contract

These contracts are deals where one party invests money expecting a return on investment (ROI). Such contracts are used in different industries including the real estate industry.

If a transaction operates as an investment contract, it may be subject to the following:

  1. Reporting
  2. Requirements of Disclosure as stated by the SEC
  3. Registration

The fundamentals in an investment contract identify the terms and conditions of the investment as well as how and when the investor will expect a return on investment. Key information to be included in an investment contract is as follows:

  1. The names and the addresses of the involved parties.
  2. The framework of the contract.
  3. The objective of the investment.
  4. The date of the issuance.
  5. Signature of the involved parties.

If you want to make a solid investment contract then you need to include the following elements:

  1. How much will be provided by the investor?
  2. What will be the form of investment?
  3. When will the transfer of the investment take place?

Most of the investments are made in cash, check, or wire transfer. Nevertheless, some of the investments are given as tangible assets. The contract would have to specify whether that is the case. In the context of tangible asset investments, you shall need to find out in what way you can continue business operations if the creditor asks for the return of those properties.

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