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Sub Advisory Agreement

Sub Advisory Agreement Template for Canada

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Key Requirements PROMPT example:

Sub Advisory Agreement

"I need a Sub Advisory Agreement for our Toronto-based investment firm to delegate ESG-focused portfolio management services to a European sub-adviser, starting January 2025, with specific provisions for cross-border compliance and sustainable investment reporting requirements."

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Document background
The Sub Advisory Agreement is a critical document used when an investment adviser wishes to delegate certain portfolio management responsibilities to another investment professional or firm while maintaining the primary relationship with the client. This arrangement is common in the Canadian investment management industry where specialized expertise or additional management capacity is required. The agreement must comply with Canadian securities laws, including provincial Securities Acts and National Instrument 31-103, which govern registration requirements and ongoing obligations. The document typically includes detailed provisions on investment mandates, compliance requirements, fee arrangements, service levels, and risk allocation. It's particularly important in situations involving complex investment strategies, cross-border investments, or specialized market segments where additional expertise is valuable.
Suggested Sections

1. Parties: Identifies and provides full legal details of the primary adviser and sub-adviser

2. Background: Explains the context of the agreement, including the primary adviser's relationship with clients and the need for sub-advisory services

3. Definitions: Defines key terms used throughout the agreement

4. Appointment and Authority: Formally establishes the sub-advisory relationship and delegates investment authority

5. Services and Responsibilities: Details the specific investment management and advisory services to be provided by the sub-adviser

6. Compliance with Laws and Regulations: Requires adherence to applicable securities laws, regulations, and investment guidelines

7. Standard of Care: Establishes the professional standard of care and fiduciary duties expected from the sub-adviser

8. Fees and Expenses: Details the compensation structure, payment terms, and responsibility for expenses

9. Representations and Warranties: Contains mutual assurances regarding authority, capacity, and regulatory status

10. Confidentiality: Governs the protection and use of confidential information

11. Term and Termination: Specifies the duration of the agreement and circumstances for termination

12. Indemnification: Sets forth mutual indemnification obligations and limitations of liability

13. Notice Provisions: Specifies how formal communications between parties should be made

14. Governing Law: Establishes the applicable law and jurisdiction for the agreement

15. General Provisions: Includes standard boilerplate clauses such as amendments, assignment, and severability

Optional Sections

1. Non-Exclusive Services: Clarifies whether the sub-adviser may provide services to other clients - include when exclusivity is not required

2. Soft Dollar Arrangements: Governs the use of soft dollar arrangements - include when such arrangements are contemplated

3. Performance Reporting: Details specific reporting requirements - include when custom reporting is needed

4. Delegation: Addresses whether and how the sub-adviser may delegate duties - include when delegation might be necessary

5. Insurance Requirements: Specifies required insurance coverage - include when specific insurance requirements exist

6. Business Continuity: Outlines disaster recovery and business continuity requirements - include for critical service relationships

7. Cybersecurity Requirements: Establishes specific cybersecurity standards - include when handling sensitive digital data

8. ESG Investment Criteria: Details environmental, social, and governance investment requirements - include when ESG investing is part of the mandate

Suggested Schedules

1. Schedule A - Investment Guidelines: Details specific investment strategies, restrictions, and guidelines

2. Schedule B - Fee Schedule: Detailed breakdown of fees, including calculation methods and payment terms

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

4. Schedule D - Service Level Requirements: Specific performance metrics and service standards

5. Schedule E - Reporting Requirements: Templates and specifications for required reports

6. Appendix 1 - Compliance Procedures: Detailed compliance protocols and procedures

7. Appendix 2 - Privacy and Data Protection Standards: Specific requirements for handling confidential information

8. Appendix 3 - Form of Client Consent: Template for obtaining client consent when required

Authors

Alex Denne

Head of Growth (Open Source Law) @ tiktok³ÉÈË°æ | 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

Asset Management

Wealth Management

Private Equity

Mutual Funds

Pension Funds

Hedge Funds

Alternative Investments

Banking

Relevant Teams

Legal

Compliance

Investment Management

Portfolio Management

Risk Management

Operations

Client Services

Investment Committee

Fund Administration

Due Diligence

Relevant Roles

Chief Investment Officer

Portfolio Manager

Investment Adviser

Compliance Officer

Legal Counsel

Risk Manager

Chief Operating Officer

Investment Fund Manager

Director of Operations

Chief Compliance Officer

General Counsel

Senior Portfolio Manager

Investment Committee Member

Managing Director

Head of Investment Operations

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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