Client agreement requirements mandate written contracts and certified disclosure documents before portfolio management begins. Regulation 22 mandates a written Client Agreement before portfolio management begins, specifying investment objectives, services, contract terms, investment approach, limits, withdrawal and settlement procedures, fees, custody, accounting and reporting and liability provisions; co-investment terms must align with associated funds and certain relaxations may apply for specified clients. A certified Disclosure Document must be provided pre-contract and published online, disclosing fee structures, portfolio and approach specific risks, related party transactions and investments, conflicts of interest, diversification policy, performance metrics and audited financials; material changes and filings with the Board must be made within seven working days.
Cases where this provision is explicitly mentioned in the judgment/order text; may not be exhaustive. To view the complete list of cases mentioning this section, Click here.
Provisions expressly mentioned in the judgment/order text.
Client agreement requirements mandate written contracts and certified disclosure documents before portfolio management begins.
Regulation 22 mandates a written Client Agreement before portfolio management begins, specifying investment objectives, services, contract terms, investment approach, limits, withdrawal and settlement procedures, fees, custody, accounting and reporting and liability provisions; co-investment terms must align with associated funds and certain relaxations may apply for specified clients. A certified Disclosure Document must be provided pre-contract and published online, disclosing fee structures, portfolio and approach specific risks, related party transactions and investments, conflicts of interest, diversification policy, performance metrics and audited financials; material changes and filings with the Board must be made within seven working days.
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