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Sub Advisor Agreement

Sub Advisor Agreement Template for India

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Key Requirements PROMPT example:

Sub Advisor Agreement

"I need a Sub Advisor Agreement for my Mumbai-based investment firm to engage a Singapore-based sub-advisor for managing our Asia-Pacific equity portfolio, ensuring SEBI compliance and including strict data protection provisions, targeted for implementation by March 2025."

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Document background
The Sub Advisor Agreement is essential in the Indian financial services sector where investment advisors seek to delegate specific investment management or advisory responsibilities to specialized sub-advisors. This document is particularly relevant when primary advisors need specialized expertise, additional resource capacity, or specific market access. The agreement must comply with SEBI (Investment Advisers) Regulations, 2013, and related Indian financial laws, making it crucial for establishing clear parameters around service scope, compliance requirements, risk management, and operational procedures. The document typically becomes necessary when expanding service offerings, entering new markets, or requiring specialized investment expertise while maintaining regulatory compliance and proper risk management frameworks.
Suggested Sections

1. Parties: Identification of the primary advisor and sub-advisor with complete legal details

2. Background: Context of the agreement, including primary advisor's authority and need for sub-advisory services

3. Definitions: Key terms used throughout the agreement, including regulatory and technical terms

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 SEBI regulations and other applicable laws

6. Representations and Warranties: Standard and specific representations from both parties regarding qualifications, licenses, and capabilities

7. Duties and Responsibilities: Detailed obligations of the sub-advisor including reporting, monitoring, and service delivery standards

8. Fees and Payment Terms: Compensation structure, payment schedule, and related terms

9. Confidentiality: Protection of confidential information and trade secrets

10. Conflicts of Interest: Procedures for identifying and managing potential conflicts

11. Standard of Care: Expected level of professional service and fiduciary duties

12. Indemnification: Mutual indemnification provisions and liability limitations

13. Term and Termination: Duration of agreement and circumstances for termination

14. Post-Termination Obligations: Duties and responsibilities after agreement termination

15. Governing Law and Jurisdiction: Application of Indian law and jurisdiction for dispute resolution

16. Miscellaneous: Standard boilerplate provisions including notices, amendments, and assignment

Optional Sections

1. Non-Compete: Restrictions on competitive activities, included when protecting business interests is crucial

2. Insurance: Requirements for professional liability insurance, included when specific coverage levels are needed

3. Data Protection: Specific provisions for handling personal data, included when dealing with EU clients or sensitive data

4. Force Majeure: Provisions for unforeseen circumstances, included when service continuity is critical

5. Business Continuity: Disaster recovery and business continuity requirements, included for critical service arrangements

6. Intellectual Property: IP ownership and usage rights, included when proprietary methods or systems are involved

7. Performance Reviews: Periodic evaluation procedures, included for long-term or complex arrangements

8. Sub-contracting: Terms for further delegation of services, included when sub-contracting might be needed

Suggested Schedules

1. Schedule A - Services Description: Detailed outline of sub-advisory services and deliverables

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

3. Schedule C - Service Levels: Specific performance metrics and service standards

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

5. Schedule E - Reporting Requirements: Format and frequency of required reports

6. Appendix 1 - Key Personnel: List of key team members and their responsibilities

7. Appendix 2 - Investment Guidelines: Specific investment restrictions and guidelines

8. Appendix 3 - Data Security Standards: Technical and operational security requirements

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

Asset Management

Investment Banking

Wealth Management

Private Equity

Mutual Funds

Insurance

Portfolio Management

Corporate Advisory

Alternative Investments

Relevant Teams

Legal

Compliance

Investment Management

Risk Management

Operations

Business Development

Portfolio Management

Client Services

Finance

Research & Analytics

Relevant Roles

Chief Investment Officer

Investment Director

Legal Counsel

Compliance Officer

Portfolio Manager

Risk Manager

Investment Advisor

Fund Manager

Managing Director

Chief Operating Officer

Head of Asset Management

Investment Strategist

General Counsel

Chief Compliance Officer

Business Development Director

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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