The Sub Advisor Agreement is a crucial document used in the Philippine investment management industry when a primary investment advisor needs to delegate specific investment management responsibilities to another professional investment advisor. This arrangement is common when seeking specialized expertise, expanding investment capabilities, or managing capacity constraints. The agreement must comply with Philippine regulatory requirements, including the Securities Regulation Code and BSP regulations, while addressing key aspects such as service scope, compensation structures, compliance obligations, and risk management. The document is particularly relevant in situations where investment firms want to access specialized market knowledge, diversify investment strategies, or enhance their service offerings without developing internal capabilities. The Sub Advisor Agreement includes detailed provisions for regulatory compliance, reporting requirements, performance standards, and risk controls specific to the Philippine financial services context.
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1. Parties: Identifies and provides details of the primary advisor and sub-advisor
2. Background: Explains the context of the agreement and the parties' intentions
3. Definitions: Defines key terms used throughout the agreement
4. Appointment and Scope of Services: Details the appointment of the sub-advisor and specific services to be provided
5. Regulatory Compliance: Outlines compliance requirements under Philippine law, including SEC and BSP regulations
6. Representations and Warranties: States the parties' representations regarding their authority, qualifications, and regulatory status
7. Duties and Responsibilities: Details specific obligations of both parties
8. Compensation and Fees: Specifies fee structure, payment terms, and expenses
9. Confidentiality: Addresses handling of confidential information and data privacy requirements
10. Standard of Care: Establishes the expected level of professional service and fiduciary duties
11. Term and Termination: Specifies duration, renewal terms, and termination conditions
12. Indemnification: Details mutual indemnification obligations
13. Governing Law and Jurisdiction: Specifies Philippine law as governing law and jurisdiction for disputes
14. Miscellaneous Provisions: Includes standard clauses like notices, amendments, and assignment
1. Non-Competition: Restricts sub-advisor from competing activities - include when protecting market position
2. Intellectual Property Rights: Addresses ownership of investment strategies and materials - include when proprietary methodologies are involved
3. Force Majeure: Covers unforeseeable circumstances - important in volatile markets or uncertain conditions
4. Insurance Requirements: Specifies required insurance coverage - include for high-value advisory relationships
5. Performance Standards: Sets specific performance metrics - include when quantifiable targets are required
6. Marketing and Branding: Governs use of brands and marketing materials - include when sub-advisor will have client contact
7. Disaster Recovery: Outlines business continuity requirements - include for critical service relationships
1. Schedule A - Services Description: Detailed description of sub-advisory services and responsibilities
2. Schedule B - Fee Schedule: Detailed breakdown of fees, calculations, and payment terms
3. Schedule C - Investment Guidelines: Specific investment restrictions, allocations, and guidelines
4. Schedule D - Compliance Procedures: Detailed compliance requirements and reporting procedures
5. Schedule E - Key Personnel: List of key team members and their responsibilities
6. Appendix 1 - Required Disclosures: Mandatory disclosures under Philippine securities laws
7. Appendix 2 - Reporting Templates: Standard formats for required reports and notifications
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