{"id":34743,"date":"2023-11-30T05:12:14","date_gmt":"2023-11-30T05:12:14","guid":{"rendered":"https:\/\/www.process.st\/templates\/non-discretionary-investment-management-agreement-template\/"},"modified":"2024-03-05T15:41:48","modified_gmt":"2024-03-05T15:41:48","slug":"non-discretionary-investment-management-agreement-template","status":"publish","type":"post","link":"https:\/\/www.process.st\/templates\/non-discretionary-investment-management-agreement-template\/","title":{"rendered":"Non-Discretionary Investment Management Agreement Template"},"content":{"rendered":"\n<section id=\"identify-clients-financial-objectives-and-goals\"> \n <h2>Identify Client's Financial Objectives and Goals<\/h2>\n <div class=\"text-content\">\n   In this task, you will work closely with the client to understand their financial objectives and goals. What are their short-term and long-term financial goals? What are they hoping to achieve through their investments? This information will guide the entire investment management process, ensuring that the client's needs and aspirations are met. \n <\/div> \n <div class=\"textarea-field-content form-field-content\"> \n  <div class=\"form-group\"> <label> Describe the client's financial objectives and goals <\/label> <textarea placeholder=\"Something will be typed here...\" rows=\"3\" disabled class=\"form-control\"><\/textarea> \n  <\/div> \n <\/div> \n<\/section> \n<section id=\"assess-clients-risk-tolerance-and-investment-preferences\"> \n <h2>Assess Client's Risk Tolerance and Investment Preferences<\/h2>\n <div class=\"text-content\">\n   Understanding the client's risk tolerance and investment preferences is crucial for developing an investment strategy that aligns with their expectations. What level of risk are they comfortable with? Are they looking for conservative or aggressive investment options? By assessing these factors, you can ensure that the client's investment portfolio is tailored to their risk appetite and preferences. \n <\/div> \n <div class=\"select-field-content form-field-content\"> \n  <div class=\"form-group\"> <label> Client's risk tolerance <\/label> <select disabled class=\"form-control\"> <option value=\"An option will be selected here\">An option will be selected here<\/option> <\/select> \n  <\/div> \n  <ul class=\"items\"> \n   <li class=\"item\"> \n    <div class=\"step-number-container\"> \n     <div class=\"step-number\">\n       1 \n     <\/div> \n    <\/div> \n    <div class=\"step-checkbox-container\"> \n     <div class=\"step-checkbox\"><\/div> \n    <\/div> \n    <div class=\"item-name-static\">\n      Conservative \n    <\/div> <\/li>\n   <li class=\"item\"> \n    <div class=\"step-number-container\"> \n     <div class=\"step-number\">\n       2 \n     <\/div> \n    <\/div> \n    <div class=\"step-checkbox-container\"> \n     <div class=\"step-checkbox\"><\/div> \n    <\/div> \n    <div class=\"item-name-static\">\n      Moderately conservative \n    <\/div> <\/li>\n   <li class=\"item\"> \n    <div class=\"step-number-container\"> \n     <div class=\"step-number\">\n       3 \n     <\/div> \n    <\/div> \n    <div class=\"step-checkbox-container\"> \n     <div class=\"step-checkbox\"><\/div> \n    <\/div> \n    <div class=\"item-name-static\">\n      Moderate \n    <\/div> <\/li>\n   <li class=\"item\"> \n    <div class=\"step-number-container\"> \n     <div class=\"step-number\">\n       4 \n     <\/div> \n    <\/div> \n    <div class=\"step-checkbox-container\"> \n     <div class=\"step-checkbox\"><\/div> \n    <\/div> \n    <div class=\"item-name-static\">\n      Moderately aggressive \n    <\/div> <\/li>\n   <li class=\"item\"> \n    <div class=\"step-number-container\"> \n     <div class=\"step-number\">\n       5 \n     <\/div> \n    <\/div> \n    <div class=\"step-checkbox-container\"> \n     <div class=\"step-checkbox\"><\/div> \n    <\/div> \n    <div class=\"item-name-static\">\n      Aggressive \n    <\/div> <\/li> \n  <\/ul> \n <\/div> \n <div class=\"multi-choice-content form-field-content\"> \n  <div class=\"form-group\"> <label> Client's investment preferences <\/label> <select disabled class=\"form-control\"> <option value=\"\">Multiple options can be selected from this list<\/option> <\/select> \n  <\/div> \n  <ul class=\"items\"> \n   <li class=\"item\"> \n    <div class=\"step-number-container\"> \n     <div class=\"step-number\">\n       1 \n     <\/div> \n    <\/div> \n    <div class=\"step-checkbox-container\"> \n     <div class=\"step-checkbox\"><\/div> \n    <\/div> \n    <div class=\"item-name-static\">\n      Stocks \n    <\/div> <\/li>\n   <li class=\"item\"> \n    <div class=\"step-number-container\"> \n     <div class=\"step-number\">\n       2 \n     <\/div> \n    <\/div> \n    <div class=\"step-checkbox-container\"> \n     <div class=\"step-checkbox\"><\/div> \n    <\/div> \n    <div class=\"item-name-static\">\n      Bonds \n    <\/div> <\/li>\n   <li class=\"item\"> \n    <div class=\"step-number-container\"> \n     <div class=\"step-number\">\n       3 \n     <\/div> \n    <\/div> \n    <div class=\"step-checkbox-container\"> \n     <div class=\"step-checkbox\"><\/div> \n    <\/div> \n    <div class=\"item-name-static\">\n      Real estate \n    <\/div> <\/li>\n   <li class=\"item\"> \n    <div class=\"step-number-container\"> \n     <div class=\"step-number\">\n       4 \n     <\/div> \n    <\/div> \n    <div class=\"step-checkbox-container\"> \n     <div class=\"step-checkbox\"><\/div> \n    <\/div> \n    <div class=\"item-name-static\">\n      Mutual funds \n    <\/div> <\/li>\n   <li class=\"item\"> \n    <div class=\"step-number-container\"> \n     <div class=\"step-number\">\n       5 \n     <\/div> \n    <\/div> \n    <div class=\"step-checkbox-container\"> \n     <div class=\"step-checkbox\"><\/div> \n    <\/div> \n    <div class=\"item-name-static\">\n      Commodities \n    <\/div> <\/li> \n  <\/ul> \n <\/div> \n<\/section> \n<section id=\"conduct-market-analysis-and-research\"> \n <h2>Conduct Market Analysis and Research<\/h2>\n <div class=\"text-content\">\n   Thorough market analysis and research are essential for making informed investment decisions. It involves studying market trends, analyzing economic indicators, and evaluating investment opportunities. By understanding the market conditions and identifying potential risks and rewards, you can develop a well-informed investment strategy. \n <\/div> \n<\/section> \n<section id=\"design-an-investment-strategy\"> \n <h2>Design an Investment Strategy<\/h2>\n <div class=\"text-content\">\n   Based on the client's financial objectives, goals, risk tolerance, and investment preferences, design a tailored investment strategy. How will you allocate assets? Which investment vehicles will you use? Consider diversification, asset allocation, and risk management to develop a well-balanced and efficient investment strategy that aligns with the client's goals. \n <\/div> \n <div class=\"textarea-field-content form-field-content\"> \n  <div class=\"form-group\"> <label> Describe the investment strategy <\/label> <textarea placeholder=\"Something will be typed here...\" rows=\"3\" disabled class=\"form-control\"><\/textarea> \n  <\/div> \n <\/div> \n<\/section> \n<section id=\"approval-investment-strategy\"> \n <h2>Approval: Investment Strategy<\/h2>\n <div class=\"approval-content\"> \n  <div class=\"header\"> \n   <div class=\"list-title\">\n    Will be submitted for approval:\n   <\/div> \n  <\/div> \n  <div class=\"approval-rule-subject-tasks-list\"> \n   <ul class=\"list\"> \n    <li> \n     <div class=\"approval-rule-subject-tasks-list-item\"> \n      <div class=\"item\"> \n       <div class=\"container\"> <span class=\"title\">Design an Investment Strategy<\/span> \n        <div class=\"body\">\n         Will be submitted\n        <\/div> \n       <\/div> \n      <\/div> \n     <\/div> <\/li> \n   <\/ul> \n  <\/div> \n <\/div> \n<\/section> \n<section id=\"preparation-of-the-nondiscretionary-investment-management-agreement\"> \n <h2>Preparation of the Non-Discretionary Investment Management Agreement<\/h2>\n <div class=\"text-content\">\n   Prepare the non-discretionary investment management agreement, which outlines the terms and conditions of the investment management services provided. The agreement should clearly define the responsibilities of both parties and provide a framework for the client-advisor relationship. \n <\/div> \n<\/section> \n<section id=\"review-legal-and-regulatory-considerations\"> \n <h2>Review Legal and Regulatory Considerations<\/h2>\n <div class=\"text-content\">\n   Before finalizing the investment management agreement, carefully review all legal and regulatory considerations. Ensure compliance with relevant laws and regulations, including those related to financial advisory services, securities, and client data protection. \n <\/div> \n<\/section> \n<section id=\"approval-legal-team\"> \n <h2>Approval: Legal Team<\/h2>\n <div class=\"approval-content\"> \n  <div class=\"header\"> \n   <div class=\"list-title\">\n    Will be submitted for approval:\n   <\/div> \n  <\/div> \n  <div class=\"approval-rule-subject-tasks-list\"> \n   <ul class=\"list\"> \n    <li> \n     <div class=\"approval-rule-subject-tasks-list-item\"> \n      <div class=\"item\"> \n       <div class=\"container\"> <span class=\"title\">Preparation of the Non-Discretionary Investment Management Agreement<\/span> \n        <div class=\"body\">\n         Will be submitted\n        <\/div> \n       <\/div> \n      <\/div> \n     <\/div> <\/li>\n    <li> \n     <div class=\"approval-rule-subject-tasks-list-item\"> \n      <div class=\"item\"> \n       <div class=\"container\"> <span class=\"title\">Review Legal and Regulatory Considerations<\/span> \n        <div class=\"body\">\n         Will be submitted\n        <\/div> \n       <\/div> \n      <\/div> \n     <\/div> <\/li> \n   <\/ul> \n  <\/div> \n <\/div> \n<\/section> \n<section id=\"set-up-meeting-to-discuss-the-prepared-agreement\"> \n <h2>Set up Meeting to Discuss the Prepared Agreement<\/h2>\n <div class=\"text-content\">\n   Schedule a meeting with the client to discuss the prepared non-discretionary investment management agreement. This is an opportunity to address any questions or concerns the client may have and ensure that both parties are aligned on the terms and conditions of the agreement. \n <\/div> \n <div class=\"date-field-content form-field-content\"> \n  <div class=\"form-group\"> <label> Meeting date <\/label> \n   <div class=\"date-container\"> <button type=\"button\" disabled class=\"btn btn-default\"> <i class=\"fa fa-calendar btn-icon\"><\/i> Date will be set here <\/button> \n   <\/div> \n  <\/div> \n <\/div> \n<\/section> \n<section id=\"discuss-the-terms-and-conditions-of-the-agreement-with-the-client\"> \n <h2>Discuss the Terms and Conditions of the Agreement with the Client<\/h2>\n <div class=\"text-content\">\n   In the meeting, thoroughly discuss the terms and conditions of the non-discretionary investment management agreement with the client. Ensure that the client understands their rights and obligations as outlined in the agreement. Address any queries or clarifications they may require. \n <\/div> \n<\/section> \n<section id=\"seek-clients-feedback\"> \n <h2>Seek Client's Feedback<\/h2>\n <div class=\"text-content\">\n   After discussing the terms and conditions, seek the client's feedback on the non-discretionary investment management agreement. Did they understand the agreement? Are they satisfied with the terms and conditions? This feedback will help ensure that the agreement accurately reflects the client's expectations. \n <\/div> \n <div class=\"email-field-content form-field-content\"> \n  <div class=\"form-group\"> <label> Client's email address <\/label> \n   <input type=\"text\" placeholder=\"Something will be typed here...\" disabled class=\"form-control\"> \n  <\/div> \n <\/div> \n<\/section> \n<section id=\"revise-the-agreement-based-on-clients-feedback\"> \n <h2>Revise the Agreement Based on Client's Feedback<\/h2>\n <div class=\"text-content\">\n   Based on the client's feedback, revise the non-discretionary investment management agreement if necessary. Address any concerns or suggestions raised by the client to ensure that the final agreement meets their expectations. \n <\/div> \n<\/section> \n<section id=\"approval-clients-feedback\"> \n <h2>Approval: Client's Feedback<\/h2>\n <div class=\"approval-content\"> \n  <div class=\"header\"> \n   <div class=\"list-title\">\n    Will be submitted for approval:\n   <\/div> \n  <\/div> \n  <div class=\"approval-rule-subject-tasks-list\"> \n   <ul class=\"list\"> \n    <li> \n     <div class=\"approval-rule-subject-tasks-list-item\"> \n      <div class=\"item\"> \n       <div class=\"container\"> <span class=\"title\">Discuss the Terms and Conditions of the Agreement with the Client<\/span> \n        <div class=\"body\">\n         Will be submitted\n        <\/div> \n       <\/div> \n      <\/div> \n     <\/div> <\/li>\n    <li> \n     <div class=\"approval-rule-subject-tasks-list-item\"> \n      <div class=\"item\"> \n       <div class=\"container\"> <span class=\"title\">Revise the Agreement Based on Client's Feedback<\/span> \n        <div class=\"body\">\n         Will be submitted\n        <\/div> \n       <\/div> \n      <\/div> \n     <\/div> <\/li> \n   <\/ul> \n  <\/div> \n <\/div> \n<\/section> \n<section id=\"prepare-the-final-version-of-the-agreement\"> \n <h2>Prepare the Final Version of the Agreement<\/h2>\n <div class=\"text-content\">\n   With the client's feedback incorporated, prepare the final version of the non-discretionary investment management agreement. Ensure that all revisions are accurately reflected in the agreement document. \n <\/div> \n<\/section> \n<section id=\"obtain-clients-signature-and-final-approval\"> \n <h2>Obtain Client's Signature and Final Approval<\/h2>\n <div class=\"text-content\">\n   Once the final version of the non-discretionary investment management agreement is ready, obtain the client's signature and final approval. This signifies their formal agreement to the terms and conditions outlined in the agreement. \n <\/div> \n <div class=\"members-field-content form-field-content\"> \n  <div class=\"form-group\"> <label> Client's name <\/label> <select disabled class=\"form-control\"> <option value=\"A member or group will be selected here\">A member or group will be selected here<\/option> <\/select> \n  <\/div> \n <\/div> \n<\/section> \n<section id=\"initiate-investment-transactions\"> \n <h2>Initiate Investment Transactions<\/h2>\n <div class=\"text-content\">\n   Once the agreement is signed and approved, initiate the necessary investment transactions as per the agreed-upon investment strategy. Execute the buy and sell orders, allocate assets, and ensure timely and accurate implementation of the investment plan. \n <\/div> \n<\/section> \n<section id=\"set-up-periodic-reviews-and-reports-for-the-client\"> \n <h2>Set up Periodic Reviews and Reports for the Client<\/h2>\n <div class=\"text-content\">\n   Establish a system for periodic reviews and reports to keep the client informed about the performance of their investment portfolio. Determine the frequency of reviews and reports and ensure that they are comprehensive and easy to understand. \n <\/div> \n<\/section> \n<section id=\"record-all-documentation-for-future-audits\"> \n <h2>Record all Documentation for Future Audits<\/h2>\n <div class=\"text-content\">\n   Maintain organized, accurate, and up-to-date records of all documentation related to the non-discretionary investment management process. This includes the investment management agreement, client communication, transaction records, and periodic reports. Proper documentation ensures transparency, facilitates future audits, and helps protect both the client and the advisor. \n <\/div> \n<\/section> \n<section id=\"report-to-regulatory-bodies\"> \n <h2>Report to Regulatory Bodies<\/h2>\n <div class=\"text-content\">\n   Comply with reporting requirements set by regulatory bodies. Submit the necessary reports on time and provide accurate and relevant information as required by the regulations governing investment management services. \n <\/div> \n<\/section> \n<section id=\"implement-a-continuous-monitoring-and-adjustment-procedure\"> \n <h2>Implement a Continuous Monitoring and Adjustment Procedure<\/h2>\n <div class=\"text-content\">\n   Implement a system for continuous monitoring and adjustment of the investment portfolio. Regularly review the performance, assess the market conditions, and make necessary adjustments to align with the client's goals and market trends. This ensures that the investment strategy remains optimal and responsive to changing market dynamics. \n <\/div> \n<\/section>\n","protected":false},"excerpt":{"rendered":"<p>Identify Client's Financial Objectives and Goals In this task, you will work closely with the client to understand their financial objectives and goals. What are their short-term and long-term financial goals? What are they hoping to achieve through their investments? This information will guide the entire investment management process, ensuring that the client's needs and [&hellip;]<\/p>\n","protected":false},"author":3,"featured_media":0,"comment_status":"closed","ping_status":"open","sticky":false,"template":"","format":"standard","meta":{"_acf_changed":false,"ep_exclude_from_search":false,"cover_icon_emoji":"\ud83d\udcbc","cover_icon_url":"","tasks_count":"20","template_description":"Streamline your financial objectives and risk assessments with our comprehensive Non-Discretionary Investment Management Agreement Template workflow.","template_id":"k4_0gbZ9vtS9QDCnIuJLIA","task_0":"Identify Client's Financial Objectives and Goals","task_slug_0":"identify-clients-financial-objectives-and-goals","task_1":"Assess Client's Risk Tolerance and Investment Preferences","task_slug_1":"assess-clients-risk-tolerance-and-investment-preferences","task_2":"Conduct Market Analysis and Research","task_slug_2":"conduct-market-analysis-and-research","task_3":"Design an Investment Strategy","task_slug_3":"design-an-investment-strategy","task_4":"Approval: Investment Strategy","task_slug_4":"approval-investment-strategy","task_5":"Preparation of the Non-Discretionary Investment Management Agreement","task_slug_5":"preparation-of-the-nondiscretionary-investment-management-agreement","task_6":"Review Legal and Regulatory Considerations","task_slug_6":"review-legal-and-regulatory-considerations","task_7":"Approval: Legal Team","task_slug_7":"approval-legal-team","task_8":"Set up Meeting to Discuss the Prepared Agreement","task_slug_8":"set-up-meeting-to-discuss-the-prepared-agreement","task_9":"Discuss the Terms and Conditions of the Agreement with the Client","task_slug_9":"discuss-the-terms-and-conditions-of-the-agreement-with-the-client","task_10":"Seek Client's Feedback","task_slug_10":"seek-clients-feedback","task_11":"Revise the Agreement Based on Client's Feedback","task_slug_11":"revise-the-agreement-based-on-clients-feedback","task_12":"Approval: Client's Feedback","task_slug_12":"approval-clients-feedback","task_13":"Prepare the Final Version of the Agreement","task_slug_13":"prepare-the-final-version-of-the-agreement","task_14":"Obtain Client's Signature and Final Approval","task_slug_14":"obtain-clients-signature-and-final-approval","task_15":"Initiate Investment Transactions","task_slug_15":"initiate-investment-transactions","task_16":"Set up Periodic Reviews and Reports for the Client","task_slug_16":"set-up-periodic-reviews-and-reports-for-the-client","task_17":"Record all Documentation for Future Audits","task_slug_17":"record-all-documentation-for-future-audits","task_18":"Report to Regulatory Bodies","task_slug_18":"report-to-regulatory-bodies","task_19":"Implement a Continuous Monitoring and Adjustment Procedure","task_slug_19":"implement-a-continuous-monitoring-and-adjustment-procedure","task_20":"","task_slug_20":"","task_21":"","task_slug_21":"","task_22":"","task_slug_22":"","task_23":"","task_slug_23":"","task_24":"","task_slug_24":"","task_25":"","task_slug_25":"","task_26":"","task_slug_26":"","task_27":"","task_slug_27":"","task_28":"","task_slug_28":"","task_29":"","task_slug_29":"","task_30":"","task_slug_30":"","task_31":"","task_slug_31":"","task_32":"","task_slug_32":"","task_33":"","task_slug_33":"","task_34":"","task_slug_34":"","task_35":"","task_slug_35":"","task_36":"","task_slug_36":"","task_37":"","task_slug_37":"","task_38":"","task_slug_38":"","task_39":"","task_slug_39":"","task_40":"","task_slug_40":"","task_41":"","task_slug_41":"","task_42":"","task_slug_42":"","task_43":"","task_slug_43":"","task_44":"","task_slug_44":"","task_45":"","task_slug_45":"","task_46":"","task_slug_46":"","task_47":"","task_slug_47":"","task_48":"","task_slug_48":"","task_49":"","task_slug_49":"","task_50":"","task_slug_50":"","task_51":"","task_slug_51":"","task_52":"","task_slug_52":"","task_53":"","task_slug_53":"","task_54":"","task_slug_54":"","task_55":"","task_slug_55":"","task_56":"","task_slug_56":"","task_57":"","task_slug_57":"","task_58":"","task_slug_58":"","task_59":"","task_slug_59":"","task_60":"","task_slug_60":"","task_61":"","task_slug_61":"","task_62":"","task_slug_62":"","task_63":"","task_slug_63":"","task_64":"","task_slug_64":"","task_65":"","task_slug_65":"","task_66":"","task_slug_66":"","task_67":"","task_slug_67":"","task_68":"","task_slug_68":"","task_69":"","task_slug_69":"","task_70":"","task_slug_70":"","task_71":"","task_slug_71":"","task_72":"","task_slug_72":"","task_73":"","task_slug_73":"","task_74":"","task_slug_74":"","task_75":"","task_slug_75":"","task_76":"","task_slug_76":"","task_77":"","task_slug_77":"","task_78":"","task_slug_78":"","task_79":"","task_slug_79":"","task_80":"","task_slug_80":"","task_81":"","task_slug_81":"","task_82":"","task_slug_82":"","task_83":"","task_slug_83":"","task_84":"","task_slug_84":"","task_85":"","task_slug_85":"","task_86":"","task_slug_86":"","task_87":"","task_slug_87":"","task_88":"","task_slug_88":"","task_89":"","task_slug_89":"","task_90":"","task_slug_90":"","task_91":"","task_slug_91":"","task_92":"","task_slug_92":"","task_93":"","task_slug_93":"","task_94":"","task_slug_94":"","task_95":"","task_slug_95":"","task_96":"","task_slug_96":"","task_97":"","task_slug_97":"","task_98":"","task_slug_98":"","task_99":"","task_slug_99":"","footnotes":""},"categories":[6,71],"tags":[],"class_list":["post-34743","post","type-post","status-publish","format-standard","hentry","category-finance","category-wealth-management"],"acf":[],"aioseo_notices":[],"_links":{"self":[{"href":"https:\/\/www.process.st\/templates\/wp-json\/wp\/v2\/posts\/34743","targetHints":{"allow":["GET"]}}],"collection":[{"href":"https:\/\/www.process.st\/templates\/wp-json\/wp\/v2\/posts"}],"about":[{"href":"https:\/\/www.process.st\/templates\/wp-json\/wp\/v2\/types\/post"}],"author":[{"embeddable":true,"href":"https:\/\/www.process.st\/templates\/wp-json\/wp\/v2\/users\/3"}],"replies":[{"embeddable":true,"href":"https:\/\/www.process.st\/templates\/wp-json\/wp\/v2\/comments?post=34743"}],"version-history":[{"count":0,"href":"https:\/\/www.process.st\/templates\/wp-json\/wp\/v2\/posts\/34743\/revisions"}],"wp:attachment":[{"href":"https:\/\/www.process.st\/templates\/wp-json\/wp\/v2\/media?parent=34743"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/www.process.st\/templates\/wp-json\/wp\/v2\/categories?post=34743"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/www.process.st\/templates\/wp-json\/wp\/v2\/tags?post=34743"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}