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Sub Advisor Agreement

Sub Advisor Agreement Template for Australia

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Key Requirements PROMPT example:

Sub Advisor Agreement

"I need a Sub Advisor Agreement for my Australian investment management firm to engage a specialized cryptocurrency investment sub-advisor based in Sydney, with strict risk management provisions and compliance with ASIC's cryptocurrency guidelines, to be effective from March 2025."

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Document background
The Sub Advisor Agreement is essential in Australian financial services arrangements where specialized investment expertise is required to complement existing investment management services. This document is typically used when a primary investment advisor seeks to delegate certain investment management responsibilities to a specialized sub-advisor while maintaining overall responsibility for client relationships. The agreement must align with Australian regulatory requirements, particularly the Corporations Act 2001 (Cth) and ASIC guidance, addressing crucial aspects such as licensing obligations, compliance requirements, fee arrangements, and service standards. It's particularly relevant in situations involving managed funds, superannuation investments, or sophisticated investment strategies where specialized expertise is needed.
Suggested Sections

1. Parties: Identifies the primary advisor and sub-advisor, including their respective ABNs/ACNs and AFSL details

2. Background: Sets out the context of the agreement, including the primary advisor's client relationships and need for sub-advisory services

3. Definitions and Interpretation: Defines key terms used throughout the agreement and establishes interpretation principles

4. Appointment and Scope: Details the appointment of the sub-advisor and scope of services to be provided

5. Regulatory Compliance: Outlines compliance obligations with relevant financial services laws and regulations

6. Services and Performance Standards: Specifies the services to be provided and required performance standards

7. Fees and Payment Terms: Details the fee structure, calculation methods, and payment terms

8. Representations and Warranties: Sets out the representations and warranties made by each party

9. Compliance and Reporting: Establishes reporting requirements and compliance monitoring procedures

10. Confidentiality and Privacy: Addresses confidentiality obligations and privacy law compliance

11. Intellectual Property: Deals with ownership and usage rights of intellectual property

12. Liability and Indemnification: Establishes liability limits and indemnification obligations

13. Term and Termination: Sets out the agreement duration and termination provisions

14. General Provisions: Includes standard boilerplate clauses such as notices, governing law, and dispute resolution

Optional Sections

1. Delegation and Sub-Contracting: Include when sub-advisor may need to delegate certain functions

2. Insurance: Include detailed insurance requirements if not covered in regulatory compliance section

3. Business Continuity: Include when specific disaster recovery and business continuity requirements are needed

4. Marketing and Branding: Include when sub-advisor will be involved in marketing or client communications

5. Non-Competition: Include when restrictions on competitive activities are required

6. Personnel Requirements: Include when specific qualifications or experience levels are required for key personnel

7. Data Security: Include detailed IT and data security requirements if handling sensitive data

8. ESG Compliance: Include when environmental, social, and governance requirements are relevant to the services

Suggested Schedules

1. Schedule 1 - Services Description: Detailed description of all services to be provided by the sub-advisor

2. Schedule 2 - Fee Schedule: Detailed breakdown of fees, calculations, and payment terms

3. Schedule 3 - Service Levels: Specific performance metrics and service level requirements

4. Schedule 4 - Compliance Requirements: Detailed regulatory and compliance obligations

5. Schedule 5 - Reporting Requirements: Templates and specifications for required reports

6. Schedule 6 - Key Personnel: Details of key personnel and their qualifications

7. Appendix A - Investment Guidelines: Specific investment guidelines and restrictions

8. Appendix B - Form of Reports: Standard formats for required reports and notifications

Authors

Alex Denne

Head of Growth (Open Source Law) @ ¶¶Òõ¶ÌÊÓƵ | 3 x UCL-Certified in Contract Law & Drafting | 4+ Years Managing 1M+ Legal Documents | Serial Founder & Legal AI Author

alex.den.21@genieai.co
Relevant legal definitions









































Clauses









































Relevant Industries

Financial Services

Investment Management

Wealth Management

Asset Management

Superannuation

Private Equity

Hedge Funds

Banking

Insurance

Funds Management

Corporate Advisory

Relevant Teams

Legal

Compliance

Investment Management

Risk Management

Operations

Finance

Client Services

Investment Operations

Due Diligence

Portfolio Management

Investment Committee

Relevant Roles

Chief Investment Officer

Portfolio Manager

Investment Director

Compliance Officer

Legal Counsel

Risk Manager

Chief Operating Officer

Investment Analyst

Fund Manager

Chief Financial Officer

Relationship Manager

Investment Operations Manager

Due Diligence Officer

Investment Committee Member

Industries








Teams

Employer, Employee, Start Date, Job Title, Department, Location, Probationary Period, Notice Period, Salary, Overtime, Vacation Pay, Statutory Holidays, Benefits, Bonus, Expenses, Working Hours, Rest Breaks,  Leaves of Absence, Confidentiality, Intellectual Property, Non-Solicitation, Non-Competition, Code of Conduct, Termination,  Severance Pay, Governing Law, Entire Agreemen

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