The Unit Subscription Agreement is a fundamental document in Australian investment management, used when investors wish to acquire units in a managed investment scheme or unit trust. It serves as the primary contractual instrument governing the relationship between the trustee/responsible entity and the unit subscriber, ensuring compliance with the Corporations Act 2001 (Cth) and related regulations. This document is essential for both retail and wholesale investment offerings, though its complexity and content may vary depending on the investor classification. The agreement typically includes detailed provisions about the subscription process, payment terms, investor warranties, compliance obligations, and various operational matters. It's particularly important in the context of Australian financial services regulation, where strict disclosure requirements and investor protection mechanisms must be incorporated.
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1. Parties: Identifies the trustee/responsible entity and the subscriber
2. Background: Describes the trust, its establishment, and the context of the unit offering
3. Definitions and Interpretation: Defines key terms and sets out interpretation rules for the agreement
4. Application for Units: Details the subscriber's application for units and acceptance process
5. Subscription Price and Payment: Specifies the price per unit and payment terms
6. Issue of Units: Sets out the conditions for and process of issuing units
7. Subscriber Warranties and Acknowledgments: Contains representations and warranties from the subscriber
8. Trustee Warranties: Contains representations and warranties from the trustee
9. Confidentiality: Obligations regarding confidential information
10. Anti-Money Laundering Compliance: AML/CTF compliance requirements and procedures
11. GST: Goods and Services Tax provisions and requirements
12. General Provisions: Standard boilerplate clauses including notices, amendments, governing law, etc.
1. Foreign Investment Provisions: Required when offering units to foreign investors, including FIRB requirements
2. Wholesale Investor Declarations: Required when units are offered to wholesale/sophisticated investors
3. Cooling-off Rights: Required when offering units to retail investors
4. Distribution Reinvestment: Optional provisions for automatic reinvestment of distributions
5. Tag-Along Rights: Optional provisions for investor protection in private units
6. Key Risks: Detailed risk factors section required for retail offerings
7. Electronic Communications: Optional provisions for electronic delivery of notices and documents
1. Application Form: Formal application form for unit subscription
2. Unit Trust Deed Extract: Relevant excerpts from the trust deed
3. Unit Pricing and Valuation: Details of unit pricing methodology
4. KYC Requirements: List of required KYC documentation and procedures
5. Wholesale Investor Certificate: Template certificate for wholesale investor verification
6. Direct Debit Request Form: Form for setting up payment arrangements
7. Privacy Statement: Detailed privacy policy and information handling procedures
8. Tax Information Form: Required tax declarations and information
Authors
Relevant legal definitions
Clauses
Relevant Industries
Financial Services
Investment Management
Real Estate Investment
Private Equity
Wealth Management
Asset Management
Professional Services
Banking
Superannuation
Property Development
Relevant Teams
Legal
Compliance
Investment Management
Fund Administration
Risk Management
Operations
Finance
Client Services
Company Secretariat
Investor Relations
Relevant Roles
Fund Manager
Compliance Officer
Legal Counsel
Investment Manager
Trust Administrator
Chief Financial Officer
Company Secretary
Risk Manager
Relationship Manager
Investment Operations Manager
Portfolio Manager
Investor Relations Manager
Due Diligence Officer
Financial Controller
Trustee Director
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