Sample Investment Management Agreement Page 3
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21Client Name
Date
Page 3
carry out its obligations under this Agreement without obtaining the prior
approval or direction of the Client.
Note: Sections 13.2 and 13.3 (NI 31-103) obligations on registrants: KYC and
suitability. Advisers with managed accounts cannot ask the Client to waive suitability
assessment.
5.
NON-EXCLUSIVITY
5.1
The services provided by the Manager to the Client are not deemed exclusive. Nothing in
this Agreement shall in any way restrict the right of the Manager to provide investment
management or other services for any other person or entity [or to act for its own account],
and the provision of such services for others [or for its own account] shall not violate or give
rise to any duty or obligation to the Client. [The Manager will provide the Client with a
copy of its personal trading policy upon request.]
6.
POOLED FUNDS
[The Client understands that the [Name of Pooled Funds] (the “Pooled Funds”) are
6.1
investment funds that the Manager manages and that the Manager appoints the custodian
for the Pooled Funds. Currently, the custodian for the Pooled Funds is
. The Manager
may, at its sole discretion, change such custodian of the Pooled Funds and, if it does, will
notify the Client of such change. The Client acknowledges that the Pooled Funds [may or
will] be used to implement all or part of the Investment Policy and consents to the Manager
investing some or all of the Assets in the Account in Series
units of the Pooled Funds [as
the Manager deems appropriate].
Note: Section 8.6 of NI 31-103 – the ability of a registered adviser to trade in its own
pooled funds with its managed account clients without the necessity of being registered as
a dealer. Note the conditions to reliance on this exemption.
7.
FEES
Fees for the Manager’s investment management services (“Fees”) will be calculated
7.1
(a)
[on the following basis]:
[or]
[in accordance with the attached Schedule
, which may be amended with
days notice [or
without notice].]
(b)
Fees are subject to Goods and Services Tax and any other taxes which may be
applicable.
(c)
[In addition to fees, certain operating expenses and other costs, inclusive of Goods
and Services Tax, are paid by the Pooled Funds.]
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