The Sub Advisor Agreement is a critical document used when an investment advisor or fund manager in Indonesia needs to delegate certain investment advisory responsibilities to another qualified professional or firm. This arrangement is common in complex investment strategies or when specialized expertise is required. The agreement must comply with Indonesian financial services regulations, particularly OJK requirements, and typically includes detailed provisions on service scope, compliance obligations, risk management, and regulatory reporting. The document is essential for investment firms operating in Indonesia that want to expand their service capabilities or access specialized investment expertise while maintaining regulatory compliance and proper oversight.
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1. Parties: Identification of the primary advisor and sub-advisor, including their legal status and regulatory licenses
2. Background: Context of the agreement, including the primary advisor's client relationships and need for sub-advisory services
3. Definitions: Key terms used throughout the agreement, including regulatory terminology and service-specific definitions
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 Indonesian financial services laws, OJK regulations, and other applicable requirements
6. Representations and Warranties: Statements regarding licensing, capacity, and authority of both parties
7. Duties and Responsibilities: Specific obligations of the sub-advisor, including reporting, monitoring, and service delivery standards
8. Fees and Payment Terms: Compensation structure, payment schedule, and related financial arrangements
9. Confidentiality: Protection of confidential information and client data
10. Conflicts of Interest: Procedures for identifying, disclosing, and managing potential conflicts
11. Term and Termination: Duration of agreement and circumstances for termination
12. Indemnification: Mutual indemnification provisions and liability allocation
13. Governing Law and Dispute Resolution: Choice of Indonesian law and dispute resolution mechanisms
14. General Provisions: Standard boilerplate clauses including notices, amendments, and assignment
1. Non-Competition: Restrictions on competitive activities, used when protecting specific market segments or client relationships
2. Intellectual Property Rights: IP ownership and licensing provisions, included when proprietary trading strategies or software are involved
3. Business Continuity: Disaster recovery and business continuity requirements, important for critical service arrangements
4. Insurance: Professional liability and other insurance requirements, included for higher-risk advisory services
5. Data Protection: Specific data protection obligations, required when handling personal data or cross-border data transfers
6. Force Majeure: Provisions for unforeseen circumstances, particularly relevant in volatile markets or uncertain conditions
7. Anti-Money Laundering: Specific AML obligations, included when sub-advisor has direct client contact or handles transactions
8. Foreign Investment Provisions: Additional requirements when foreign entities are involved in the advisory relationship
1. Schedule 1 - Services Description: Detailed outline of sub-advisory services, including specific investment strategies or asset classes
2. Schedule 2 - Fee Schedule: Detailed fee structure, including base fees, performance fees, and expense arrangements
3. Schedule 3 - Service Levels: Specific performance metrics, reporting requirements, and service standards
4. Schedule 4 - Compliance Requirements: Detailed regulatory compliance obligations and reporting requirements
5. Schedule 5 - Key Personnel: List of key team members and their responsibilities
6. Appendix A - Required Licenses: Copies of relevant regulatory licenses and registrations
7. Appendix B - Reporting Templates: Standard formats for required reports and disclosures
8. Appendix C - Investment Guidelines: Specific investment restrictions, limits, and guidelines
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