Sample Investment Management Agreement Page 10
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21Client Name
Date
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this Agreement. Such arrangements will only be entered in accordance with the
Manager’s policies regarding the use of the brokerage commissions paid by the
Account [attached hereto as Schedule
]. The Manager shall, in seeking best
execution and entering arrangements involving the use of brokerage commissions,
comply with all applicable laws, including National Instrument 23-101 and National
Instrument 23-102, [and the CFA Institute’s Soft Dollars Standards and
]. The
Manager may amend its policies with respect to best execution and arrangements
involving the use of brokerage commissions at any time without notice to the Client
[but will provide a copy of its policies to the Client on request].
(f)
[Describe or list any other codes of conduct or similar documents that the Manager
or the [] is bound to or agrees to comply with].
Note: Best execution is regulated by National Instrument 23-101 and use of brokerage
commissions (soft dollars) is regulated by National Instrument 23-102.
14.
ASSIGNMENT AND AMENDMENT
14.1
No assignment of this Agreement or any part thereof shall be made by either party without
the written consent of the other party.
See section 14.11 of NI 31-103.
14.2
The parties may at any time, and from time to time, amend this Agreement.
Any
amendment, unless specifically provided for to the contrary herein, shall only be effective if
made in writing and signed by the Manager and the Client.
15.
TERMINATION
This Agreement may be terminated by either party upon days’ written notice [save where
15.1
a party is in material breach, in which circumstance the other party may terminate the
Agreement immediately [with
days written notice or without] notice].
The Client’s death, disability or physical or mental incompetence will not automatically
15.2
terminate or change the terms of this Agreement. If not prohibited by law, the Client’s
personal representative, guardian, committee, attorney-in-fact, or other authorized
representative may agree to amend the terms of this Agreement, as provided in paragraph
14.2, or terminate this Agreement as provided in paragraph 15.1.
16.
ENTIRE AGREEMENT
16.1
This Agreement, [including the Schedules hereto], sets forth the entire understanding of the
parties and is intended to be the complete and exclusive statement of the terms thereof. This
Agreement supersedes and cancels any and all prior agreements between the parties,
whether written or oral, relating to the management of the Account.
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