The Sub Advisory Agreement is a critical document used when an investment adviser wishes to delegate certain portfolio management responsibilities to another investment professional or firm while maintaining the primary relationship with the client. This arrangement is common in the Canadian investment management industry where specialized expertise or additional management capacity is required. The agreement must comply with Canadian securities laws, including provincial Securities Acts and National Instrument 31-103, which govern registration requirements and ongoing obligations. The document typically includes detailed provisions on investment mandates, compliance requirements, fee arrangements, service levels, and risk allocation. It's particularly important in situations involving complex investment strategies, cross-border investments, or specialized market segments where additional expertise is valuable.
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1. Parties: Identifies and provides full legal details of the primary adviser and sub-adviser
2. Background: Explains the context of the agreement, including the primary adviser's relationship with clients and the need for sub-advisory services
3. Definitions: Defines key terms used throughout the agreement
4. Appointment and Authority: Formally establishes the sub-advisory relationship and delegates investment authority
5. Services and Responsibilities: Details the specific investment management and advisory services to be provided by the sub-adviser
6. Compliance with Laws and Regulations: Requires adherence to applicable securities laws, regulations, and investment guidelines
7. Standard of Care: Establishes the professional standard of care and fiduciary duties expected from the sub-adviser
8. Fees and Expenses: Details the compensation structure, payment terms, and responsibility for expenses
9. Representations and Warranties: Contains mutual assurances regarding authority, capacity, and regulatory status
10. Confidentiality: Governs the protection and use of confidential information
11. Term and Termination: Specifies the duration of the agreement and circumstances for termination
12. Indemnification: Sets forth mutual indemnification obligations and limitations of liability
13. Notice Provisions: Specifies how formal communications between parties should be made
14. Governing Law: Establishes the applicable law and jurisdiction for the agreement
15. General Provisions: Includes standard boilerplate clauses such as amendments, assignment, and severability
1. Non-Exclusive Services: Clarifies whether the sub-adviser may provide services to other clients - include when exclusivity is not required
2. Soft Dollar Arrangements: Governs the use of soft dollar arrangements - include when such arrangements are contemplated
3. Performance Reporting: Details specific reporting requirements - include when custom reporting is needed
4. Delegation: Addresses whether and how the sub-adviser may delegate duties - include when delegation might be necessary
5. Insurance Requirements: Specifies required insurance coverage - include when specific insurance requirements exist
6. Business Continuity: Outlines disaster recovery and business continuity requirements - include for critical service relationships
7. Cybersecurity Requirements: Establishes specific cybersecurity standards - include when handling sensitive digital data
8. ESG Investment Criteria: Details environmental, social, and governance investment requirements - include when ESG investing is part of the mandate
1. Schedule A - Investment Guidelines: Details specific investment strategies, restrictions, and guidelines
2. Schedule B - Fee Schedule: Detailed breakdown of fees, including calculation methods and payment terms
3. Schedule C - Authorized Persons: List of individuals authorized to act on behalf of each party
4. Schedule D - Service Level Requirements: Specific performance metrics and service standards
5. Schedule E - Reporting Requirements: Templates and specifications for required reports
6. Appendix 1 - Compliance Procedures: Detailed compliance protocols and procedures
7. Appendix 2 - Privacy and Data Protection Standards: Specific requirements for handling confidential information
8. Appendix 3 - Form of Client Consent: Template for obtaining client consent when required
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