The Sub Advisor Agreement is essential when a primary investment advisor or manager wishes to delegate certain investment advisory functions to another professional entity while maintaining regulatory compliance under Swiss law. This document is particularly relevant in situations where specialized expertise is required or when expanding investment capabilities through external professionals. The agreement ensures compliance with Swiss financial regulations, including the Financial Services Act (FinSA) and Financial Institutions Act (FinIA), while clearly defining the scope of delegated services, risk management protocols, and reporting requirements. It's commonly used by Swiss-based financial institutions and international firms operating under Swiss jurisdiction, requiring careful consideration of cross-border regulations and local compliance requirements.
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1. Parties: Identification of the primary advisor and sub-advisor with full legal entity details
2. Background: Context of the agreement, including primary advisor's authority to delegate and sub-advisor's qualifications
3. Definitions: Key terms used throughout the agreement
4. Appointment and Scope of Services: Formal appointment of sub-advisor and detailed description of delegated services
5. Regulatory Compliance: Obligations to comply with FinSA, FinIA, and other applicable Swiss regulations
6. Duties and Responsibilities: Specific duties of sub-advisor including reporting, monitoring, and risk management
7. Fees and Expenses: Compensation structure, payment terms, and expense allocation
8. Representations and Warranties: Statements of fact and guarantees from both parties
9. Standard of Care: Required level of professional care and skill
10. Confidentiality: Protection of confidential information and compliance with FDPA
11. Conflicts of Interest: Procedures for identifying and managing conflicts
12. Liability and Indemnification: Allocation of risks and responsibilities for losses
13. Term and Termination: Duration of agreement and termination provisions
14. General Provisions: Miscellaneous legal provisions including notices, amendments, and governing law
1. Intellectual Property Rights: Protection of IP rights when sub-advisor develops proprietary materials or methodologies
2. Insurance: Requirements for professional liability insurance if not covered by regulatory requirements
3. Business Continuity: Disaster recovery and business continuity requirements for critical services
4. Non-Competition: Restrictions on competitive activities, if applicable
5. Data Protection Officer: Appointment and duties of data protection officer if required by size/scope
6. Sub-Delegation: Rights and restrictions regarding further delegation of services
7. Marketing and Publicity: Rules for public communications and use of names/logos
1. Schedule 1 - Services Description: Detailed description of investment advisory services and responsibilities
2. Schedule 2 - Fee Schedule: Detailed fee structure, calculation methods, and payment terms
3. Schedule 3 - Investment Guidelines: Specific investment restrictions, guidelines, and policies
4. Schedule 4 - Reporting Requirements: Format, frequency, and content of required reports
5. Schedule 5 - Key Personnel: List of key personnel responsible for providing services
6. Appendix A - Compliance Procedures: Detailed compliance requirements and procedures
7. Appendix B - Data Protection Standards: Specific data protection and security requirements
8. Appendix C - Service Level Agreement: Performance metrics and service level requirements
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