Sample Investment Management Agreement Page 2
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21Client Name
Date
Page 2
2.2
With respect to all matters contemplated by this Agreement, the Client confirms that the
Manager may receive and act on instructions from ___________[Name]___________, until
the Manager is in receipt of the Client’s written instructions to the contrary.
3.
CONFIDENTIALITY
3.1
The Manager shall treat all information provided to it by the Client regarding the Client and
the Account as confidential, and will not disclose such information to third parties unless the
Client has provided written permission to the Manager to do so, or unless the Manager is, by
law, required or permitted to do so. The Client shall keep confidential any information that
it receives from the Manager regarding the Manager’s investment strategies and trading
practices, except as approved in writing by the Manager, or required by law.
4.
AUTHORITY
4.1
The Manager will manage the Account with complete discretion, in accordance with the
investment policy statement dated ______________, which, among other things, outlines
the Client’s investment needs and objectives, financial circumstances and risk tolerance, and
any amendments thereto that have been acknowledged in writing by both the Manager and
the Client (collectively, the “Investment Policy”). Without limiting the authority granted
above, the Manager is authorized with respect to managing the Account to:
(a)
invest, reinvest, maintain in cash or cash equivalents, acquire, dispose of and
otherwise manage, all or any part of the assets in the Account;
(b)
unless otherwise instructed by the Client, select and place orders with dealers and
brokers to purchase, sell and otherwise trade in or deal with assets in the Account
and negotiate the applicable terms, commissions and charges with such dealers
and brokers;
(c)
instruct the Custodian to settle such trades as are directed by the Manager;
(d)
unless otherwise directed by the Client, instruct the Custodian (i) as to the voting
of all proxies received with respect to securities of the Account and execute
proxies of voting instruction forms relating to such voting all in accordance with
the Manager’s policies on voting proxies, and (ii) to take such actions and
exercise all such rights and powers incidental or relating to ownership of
securities in the Account as require the exercise of discretion and may be
exercised by any owner of such securities;
(e)
retain third parties, which may include affiliates of the Manager, to perform any
of the duties or obligations of the Manager under this Agreement; and
(f)
perform any and all other acts as may be in its judgment necessary or appropriate
for the management of the Account, or are necessary to enable the Manager to
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