The Sub Advisor Agreement is essential when an investment advisor seeks to delegate portfolio management responsibilities to another professional investment manager. This document, subject to U.S. securities laws and regulations, specifically outlines the scope of delegated authority, investment guidelines, compliance requirements, and fee arrangements. The agreement ensures clear delineation of responsibilities while maintaining regulatory compliance with SEC requirements and protecting end-client interests. Sub Advisor Agreements are particularly crucial for firms seeking specialized expertise or additional management capacity while maintaining oversight of client assets.
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1. Parties: Identification of primary advisor and sub-advisor, including legal names and addresses
2. Background: Context of the agreement and relationship between parties
3. Definitions: Key terms used throughout the agreement
4. Appointment and Authority: Formal appointment of sub-advisor and scope of authority
5. Services: Detailed description of investment management services to be provided
6. Compliance with Laws: Regulatory compliance obligations and requirements
7. Fees and Compensation: Fee structure, payment terms, and expenses
8. Representations and Warranties: Standard declarations about legal capacity and regulatory status
9. Confidentiality: Protection of confidential information
10. Term and Termination: Duration and termination provisions
1. Performance Reporting: Optional section detailing reporting requirements and standards when specific performance metrics need to be tracked
2. Soft Dollar Arrangements: Optional section covering terms regarding soft dollar benefits when such arrangements are part of the relationship
3. Non-Exclusive Services: Optional section clarifying non-exclusive nature of services when sub-advisor serves multiple clients
4. Insurance Requirements: Optional section specifying insurance coverage requirements when particular insurance coverage is needed
1. Investment Guidelines: Detailed investment restrictions and guidelines
2. Fee Schedule: Detailed breakdown of fees and calculation methodology
3. Authorized Persons: List of individuals authorized to act on behalf of each party
4. Compliance Procedures: Detailed compliance protocols and procedures
5. Form ADV: Sub-advisor's Form ADV disclosure document
6. Service Level Agreement: Detailed performance metrics and service standards
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