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Sub Advisor Agreement

Sub Advisor Agreement Template for South Africa

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Key Requirements PROMPT example:

Sub Advisor Agreement

"I need a Sub Advisor Agreement for my Cape Town-based wealth management firm to engage a UK-based investment specialist for providing advisory services to our high-net-worth clients, starting March 2025, with specific provisions for cross-border compliance and data protection."

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Document background
The Sub Advisor Agreement is a critical document used in the South African financial services sector when a primary financial advisor or financial services provider wishes to engage another professional to provide specialized advisory services or support their existing client relationships. This document is essential for compliance with South African financial regulations, particularly the FAIS Act, and establishes clear parameters for service delivery, risk management, and client protection. The agreement typically includes detailed provisions for regulatory compliance, compensation structures, operational procedures, and data protection requirements under POPIA. It's particularly relevant in situations where specialized expertise is needed or when firms are scaling their advisory capabilities while maintaining regulatory compliance and service quality.
Suggested Sections

1. Parties: Identification of the primary advisor and sub-advisor, including their regulatory status and licenses

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

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

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

5. Regulatory Compliance: Obligations regarding FAIS Act, FICA, and other regulatory requirements

6. Duties and Responsibilities: Detailed obligations of both parties, including service standards and reporting requirements

7. Fees and Payment: Compensation structure, payment terms, and related tax considerations

8. Representations and Warranties: Statements of fact and assurances from both parties, including licensing and capability confirmations

9. Confidentiality and Data Protection: Obligations regarding client information and compliance with POPIA

10. Intellectual Property: Ownership and usage rights of materials, systems, and methodologies

11. Risk and Compliance: Risk management procedures and compliance monitoring requirements

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

13. Post-Termination Obligations: Continuing duties after agreement ends, including client transition and record retention

14. General Provisions: Standard legal clauses including notices, amendments, and governing law

Optional Sections

1. Non-Competition: Restrictions on competitive activities, used when protecting specific market segments or client relationships

2. Professional Indemnity Insurance: Specific insurance requirements, included when not covered by regulatory requirements

3. Marketing and Branding: Guidelines for using brands and marketing materials, included when sub-advisor will have client-facing role

4. Service Level Agreement: Detailed performance metrics and standards, used for complex service arrangements

5. International Services: Additional provisions for cross-border services, included when serving international clients

6. Delegation Rights: Terms for further delegation of services, included when sub-advisor may need to engage additional parties

Suggested Schedules

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

2. Schedule 2: Fee Schedule: Detailed fee structure, calculations, and payment terms

3. Schedule 3: Compliance Procedures: Specific compliance requirements and procedures

4. Schedule 4: Service Levels: Performance metrics and service standards

5. Schedule 5: Key Personnel: List of key personnel and their qualifications

6. Appendix A: Required Licenses and Certifications: Copies or details of required regulatory licenses

7. Appendix B: Data Protection Requirements: Specific procedures for handling personal information

8. Appendix C: Reporting Templates: Standard formats for required reports and documentation

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

Banking

Insurance

Private Equity

Asset Management

Financial Technology

Pension Fund Management

Corporate Advisory

Relevant Teams

Legal

Compliance

Risk Management

Investment Management

Operations

Finance

Business Development

Client Relations

Regulatory Affairs

Portfolio Management

Relevant Roles

Chief Investment Officer

Compliance Officer

Legal Counsel

Financial Advisor

Investment Manager

Portfolio Manager

Wealth Manager

Risk Manager

Operations Director

Chief Financial Officer

Business Development Manager

Relationship Manager

Investment Consultant

Financial Services Director

Regulatory Affairs Manager

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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