The Sub Advisory Agreement is essential when a primary investment advisor seeks to delegate specific investment management responsibilities to another financial institution while maintaining its primary relationship with end clients. This agreement is commonly used in Switzerland's financial sector when specialized expertise is required for particular investment strategies, asset classes, or geographic markets. The document must comply with Swiss regulatory requirements, including FinSA and FinIA, and typically includes detailed provisions on investment mandates, compliance obligations, risk management, reporting requirements, and fee structures. It's particularly relevant for situations where the primary advisor wants to enhance its investment capabilities while maintaining oversight and ensuring regulatory compliance within the Swiss regulatory framework. The agreement needs to address both the business relationship between the parties and the regulatory obligations that arise from Swiss financial services laws.
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1. Parties: Identification and details of the primary investment advisor and sub-advisor
2. Background: Context of the agreement, including the primary advisor's relationship with its clients and the need for sub-advisory services
3. Definitions: Key terms used throughout the agreement
4. Appointment and Scope of Services: Formal appointment of sub-advisor and detailed description of services to be provided
5. Regulatory Compliance: Obligations to comply with applicable Swiss financial regulations, including FinSA and FinIA requirements
6. Duties and Responsibilities: Specific obligations of both parties, including investment guidelines, reporting requirements, and standard of care
7. Compensation: Fee structure, calculation methodology, and payment terms
8. Representations and Warranties: Statements of fact and assurances from both parties regarding their capacity, authority, and regulatory status
9. Confidentiality: Obligations regarding the protection of confidential information and client data
10. Conflicts of Interest: Procedures for identifying, disclosing, and managing potential conflicts
11. Term and Termination: Duration of the agreement and circumstances under which it can be terminated
12. Indemnification: Mutual obligations to protect each party from losses arising from specified circumstances
13. General Provisions: Standard clauses including notices, amendments, governing law, and jurisdiction
1. Delegation: Include when sub-advisor may need to delegate certain functions to third parties
2. Investment Guidelines: Include when specific investment restrictions or guidelines need to be incorporated into the main agreement rather than schedules
3. Service Level Requirements: Include when specific performance metrics or service levels need to be contractually established
4. Business Continuity: Include when specific disaster recovery and business continuity requirements are needed
5. Insurance Requirements: Include when specific insurance coverage needs to be maintained by either party
6. Intellectual Property: Include when proprietary trading strategies, software, or other IP will be used in providing services
7. Non-Competition: Include when restrictions on competitive activities are required
8. Data Protection: Include as separate section when extensive personal data processing is involved beyond general confidentiality provisions
1. Schedule A - Investment Guidelines: Detailed investment restrictions, guidelines, and policies
2. Schedule B - Fee Schedule: Detailed breakdown of fee calculations, including any performance fees
3. Schedule C - Authorized Persons: List of individuals authorized to give instructions or receive reports
4. Schedule D - Reporting Requirements: Details of required reports, frequency, and content
5. Schedule E - Service Level Agreement: Detailed performance metrics and service standards
6. Appendix 1 - Compliance Procedures: Detailed compliance requirements and procedures
7. Appendix 2 - Risk Management Procedures: Risk monitoring and management protocols
8. Appendix 3 - Form of Client Consent: Template for obtaining client consent to sub-advisory arrangement if required
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