��Ƶ

Sub Advisory Agreement Template Generator for the USA

Create a bespoke document in minutes, or upload and review your own.

4.6 / 5

4.8 / 5

Let's create your Sub Advisory Agreement Template

1. Select your governing law and document type:

2. Enter your key requirements:

3. Create your document to edit, review or download

Get your first 2 documents free

Your data doesn't train Genie's AI

You keep IP ownership of your information

Key Requirements PROMPT example:

Sub Advisory Agreement Template

"I need a Sub Advisory Agreement Template for my hedge fund to delegate specialized emerging markets investment strategies to an external manager, with specific provisions for daily performance reporting and risk management controls, to be effective from March 2025."

Document background

The Sub Advisory Agreement Template is designed for situations where a primary investment adviser seeks to delegate certain investment management responsibilities to another registered investment adviser while maintaining regulatory compliance. This document is crucial in the United States investment management industry, where it must comply with SEC regulations, the Investment Advisers Act of 1940, and state securities laws. The agreement typically includes detailed provisions for investment guidelines, fee arrangements, compliance procedures, and reporting requirements, while establishing clear lines of responsibility and accountability between the primary adviser and sub-adviser. It's particularly relevant for investment advisers looking to expand their investment capabilities or access specialized expertise while maintaining their primary client relationships.

Suggested Sections

1. Parties: Identifies the primary adviser and sub-adviser, including their legal status and registration details

2. Background: Explains the context of the agreement and the primary adviser's desire to delegate certain investment management responsibilities

3. Definitions: Defines key terms used throughout the agreement

4. Appointment and Authority: Formal appointment of sub-adviser and scope of delegated authority

5. Services and Responsibilities: Detailed description of investment management services to be provided

6. Compliance with Laws and Regulations: Requirements for regulatory compliance and maintaining necessary registrations

7. Fees and Expenses: Compensation structure and payment terms

8. Standard of Care: Fiduciary obligations and performance standards

9. Representations and Warranties: Legal assurances from both parties

10. Term and Termination: Duration of agreement and termination provisions

Optional Sections

1. Parties: Identifies the primary adviser and sub-adviser, including their legal status and registration details

2. Background: Explains the context of the agreement and the primary adviser's desire to delegate certain investment management responsibilities

3. Definitions: Defines key terms used throughout the agreement

4. Appointment and Authority: Formal appointment of sub-adviser and scope of delegated authority

5. Services and Responsibilities: Detailed description of investment management services to be provided

6. Compliance with Laws and Regulations: Requirements for regulatory compliance and maintaining necessary registrations

7. Fees and Expenses: Compensation structure and payment terms

8. Standard of Care: Fiduciary obligations and performance standards

9. Representations and Warranties: Legal assurances from both parties

10. Term and Termination: Duration of agreement and termination provisions

Suggested Schedules

1. Investment Guidelines: Detailed investment restrictions and guidelines

2. Fee Schedule: Detailed breakdown of fees and calculation methods

3. Authorized Persons: List of individuals authorized to act on behalf of each party

4. Compliance Procedures: Specific compliance requirements and procedures

5. Form ADV: Current Form ADV of sub-adviser

Authors

Alex Denne

Head of Growth (Open Source Law) @ ��Ƶ | 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

Agreement

Authorized Person
Business Day
Client

Confidential Information
Effective Date
ERISA

Services

Term

Clauses

Relevant Industries

Financial Services
Asset Management
Wealth Management
Institutional Investment

Relevant Teams

Advisory
Compliance
External Counsel
In-house Legal
Risk Management

Relevant Roles

Compliance Officer
Chief Investment Officer
General Counsel
Legal Counsel
Financial Advisor

Industries

Investment Advisers Act of 1940: Primary federal law that regulates investment advisers and their responsibilities, including registration, disclosure requirements, and fiduciary duties

Investment Company Act of 1940: Federal law governing investment companies, including mutual funds, and their relationships with investment advisers and sub-advisers

Securities Act of 1933: Federal law requiring registration of securities offerings and mandating disclosure requirements for public offerings

Securities Exchange Act of 1934: Federal law establishing the SEC and regulating secondary market trading of securities

SEC Regulations: Comprehensive set of rules and regulations implemented by the Securities and Exchange Commission governing investment advisory services

FINRA Rules: Regulatory requirements set by the Financial Industry Regulatory Authority for broker-dealers and investment firms

Form ADV Requirements: Mandatory disclosure document and reporting requirements for registered investment advisers

Federal Fiduciary Obligations: Legal obligations requiring investment advisers to act in the best interests of their clients and maintain highest standard of conduct

ERISA Requirements: Employee Retirement Income Security Act regulations governing retirement plan investments and adviser responsibilities

Bank Secrecy Act: Anti-money laundering regulations requiring financial institutions to assist government agencies in detecting and preventing money laundering

USA PATRIOT Act: Federal law requiring customer identification programs and enhanced due diligence procedures for financial institutions

Dodd-Frank Act: Comprehensive financial reform legislation affecting investment advisers, including registration requirements and systemic risk reporting

Blue Sky Laws: State-specific securities laws regulating the offering and sale of securities to protect investors from fraudulent activities

Investment Company Act Custody Rules: Requirements governing the custody of client assets and related compliance obligations

Proxy Voting Requirements: Rules governing how investment advisers handle proxy voting responsibilities for client securities

Gramm-Leach-Bliley Act: Federal law requiring financial institutions to explain their information-sharing practices and protect sensitive client data

State Contract Laws: State-specific laws governing the formation, interpretation, and enforcement of contracts

Uniform Commercial Code: Standardized set of business laws regulating commercial transactions across all states

Find the exact document you need

Sub Advisory Agreement Template

A U.S.-governed agreement between investment advisers delegating investment management responsibilities while maintaining SEC compliance.

Startup Advisory Board Agreement Template

A U.S.-compliant legal agreement establishing terms between startups and their advisory board members.

Startup Advisor Contract

A U.S.-governed legal agreement establishing the relationship between a startup and its advisor, including services, compensation, and obligations.

Startup Advisor Agreement Template

A U.S.-compliant legal agreement defining the relationship between a startup and its advisor, including services, compensation, and obligations.

Startup Advisor Agreement

A U.S.-governed legal agreement that establishes the terms and conditions between a startup and its advisor, including services, compensation, and confidentiality obligations.

Simple Advisor Agreement Template

A U.S.-compliant legal agreement establishing the terms and conditions between an advisor and client for professional advisory services.

Real Estate Advisory Services Agreement

A U.S.-governed agreement defining the terms and conditions for professional real estate advisory services between an advisor and client.

Nonprofit Advisory Board Agreement Template

A U.S.-compliant legal agreement establishing the relationship between a nonprofit organization and its advisory board members.

Investment Advisory Agreement Template

A U.S.-governed agreement establishing the terms and conditions between an investment advisor and client, compliant with federal and state securities laws.

Customer Advisory Board Agreement

A U.S.-governed agreement establishing terms for customer participation in a company's advisory board, including confidentiality and IP provisions.

Consulting Firm Contract Template

A U.S.-compliant contract template governing the relationship between consulting firms and their clients, outlining services, terms, and mutual obligations.

Business Advisor Agreement

A U.S.-governed contract establishing terms for professional business advisory services between an advisor and client company.

Advisory Shares Agreement

A U.S. legal agreement governing the issuance of company shares to an advisor in exchange for their advisory services.

Advisory Services Agreement Template

A U.S.-compliant legal agreement establishing the terms and conditions for professional advisory services between an advisor and client.

Advisory Engagement Letter

A U.S.-compliant formal document establishing the terms and conditions of an advisory relationship between a professional advisor and their client.

Advisory Contract Template

U.S.-compliant template for establishing professional advisory relationships and services.

Advisory Board Member Agreement Template

A U.S.-governed agreement establishing terms and conditions for advisory board members' service, including duties, compensation, and confidentiality obligations.

Advisory Board Member Agreement

A U.S. legal agreement establishing terms and conditions for advisory board membership, including duties, compensation, and confidentiality obligations.

Advisory Board Indemnification Agreement

A U.S. legal agreement protecting advisory board members from personal liability by providing indemnification for actions taken in their advisory capacity.

Advisory Board Engagement Letter

A U.S. legal document establishing the terms and conditions of an individual's appointment to a company's advisory board, including roles, compensation, and obligations.

Advisory Board Contract Template

A U.S.-compliant legal agreement establishing the terms and conditions between a company and its advisory board members.

Advisory Board Consulting Agreement

A U.S.-governed agreement establishing terms for advisory board services, including scope, compensation, and confidentiality obligations.

Advisory Board Confidentiality Agreement

A U.S.-governed agreement protecting confidential information shared with advisory board members during their engagement with an organization.

Advisory Board Agreement Template

A U.S.-governed legal agreement establishing the terms and conditions for an individual's service on a company's advisory board.

Advisory Board Agreement

A U.S.-governed agreement establishing the terms and conditions for an individual's service on a company's advisory board, including duties, compensation, and confidentiality obligations.

Advisor Contract Template

A U.S.-governed contract template establishing terms for professional advisory services, including scope, compensation, and obligations.

Advisor Contract Agreement

A U.S.-governed agreement establishing the terms and conditions between a client and an advisor, including service scope, compensation, and obligations.

Advisor Agreement Template

A U.S.-compliant legal agreement defining the relationship between a company and its advisor, including services, compensation, and obligations.

Download our whitepaper on the future of AI in Legal

By providing your email address you are consenting to our Privacy Notice.

Thank you for downloading our whitepaper. This should arrive in your inbox shortly. In the meantime, why not jump straight to a section that interests you here: /our-research

Oops! Something went wrong while submitting the form.

�ұ�Ծ��’s Security Promise

Genie is the safest place to draft. Here’s how we prioritise your privacy and security.

Your documents are private:

We do not train on your data; �ұ�Ծ��’s AI improves independently

All data stored on Genie is private to your organisation

Your documents are protected:

Your documents are protected by ultra-secure 256-bit encryption

Our bank-grade security infrastructure undergoes regular external audits

We are ISO27001 certified, so your data is secure

Organizational security

You retain IP ownership of your documents

You have full control over your data and who gets to see it

Innovation in privacy:

Genie partnered with the Computational Privacy Department at Imperial College London

Together, we ran a £1 million research project on privacy and anonymity in legal contracts

Want to know more?

Visit our for more details and real-time security updates.

Read our Privacy Policy.

Draft quality legal agreements or review documents in 3 minutes

Blog About Us Careers 🌎 Global Site

Templates

Short-Form Directors Loan Agreement Mandate Letter (Best Efforts)Drawdown Request (Borrower to Lender)Promissory Note (UK)Letter of Waiver (Loan)Finance Legal Templates

Industries

Legal Services

Limited Power of Attorney Basic Binding Side Letter Letter of Intent Non Binding Comfort Letter Deed of Surrender (Lease)Templates for Lawyers

Manufacturing

Manufacturing Legal Templates

Construction

Letter of Claim (Pre-Action Protocol)Tenancy at Will Section 146 Notice (Remedy Breach of Lease)Notice Of Forfeiture Of Lease By Landlord Lease Report (Long Form)Construction Legal Templates

Solutions

© 2024 ��Ƶ. All rights reserved