The Sub Advisory Agreement is essential in Hong Kong's investment management industry where investment advisers delegate portfolio management responsibilities to specialized sub-advisers. This arrangement is common when seeking specific expertise, geographic market access, or asset class specialization. The agreement must comply with Hong Kong's Securities and Futures Ordinance and SFC regulations, including requirements for proper delegation, oversight, and investor protection. It typically covers investment mandates, fee structures, service levels, compliance requirements, and risk management protocols. The document is particularly important for cross-border arrangements and must address both Hong Kong regulatory requirements and any applicable international considerations.
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1. Parties: Identification of the primary investment adviser and sub-adviser, including regulatory status and licensing information
2. Background: Context of the agreement, including reference to the primary adviser's client agreements and regulatory framework
3. Definitions: Key terms used throughout the agreement, including investment-related terminology and regulatory references
4. Appointment and Scope: Terms of sub-adviser appointment and detailed scope of delegated investment management services
5. Duties and Responsibilities: Specific obligations of the sub-adviser including investment management, reporting, and compliance duties
6. Compliance with Laws: Obligations to comply with applicable laws, regulations, and regulatory requirements
7. Representations and Warranties: Standard and specific representations from both parties, including licensing and capability confirmations
8. Fees and Expenses: Fee structure, calculation method, payment terms, and responsibility for expenses
9. Standard of Care and Liability: Expected standard of care, limitations of liability, and indemnification provisions
10. Confidentiality: Protection of confidential information and client data
11. Conflicts of Interest: Procedures for identifying, managing, and disclosing conflicts of interest
12. Reporting and Records: Requirements for performance reporting, record-keeping, and information sharing
13. Term and Termination: Duration of agreement, termination rights, and post-termination obligations
14. General Provisions: Standard boilerplate clauses including notices, amendments, assignment, and governing law
1. Soft Dollar Arrangements: Include when the sub-adviser may engage in soft dollar practices, specifying permitted arrangements and disclosure requirements
2. Cross Trading: Include when cross trades between client accounts may be permitted, detailing procedures and restrictions
3. ESG Investment Guidelines: Include when environmental, social, and governance factors are part of the investment mandate
4. Model Portfolio Services: Include when the sub-adviser provides model portfolios rather than direct investment management
5. Use of Affiliates: Include when the sub-adviser may delegate to or use services of affiliated entities
6. Investment Research: Include when specific provisions regarding research generation and sharing are needed
7. Proxy Voting: Include when sub-adviser will have proxy voting responsibilities
8. Currency Hedging: Include when currency hedging services are part of the mandate
1. Investment Guidelines: Detailed investment restrictions, guidelines, and policies applicable to the mandate
2. Fee Schedule: Detailed breakdown of fees, including calculation methodologies and examples
3. Authorized Persons: List of authorized persons who can give instructions or receive information
4. Reporting Requirements: Detailed specifications for regular reporting, including format, content, and frequency
5. Service Level Agreement: Specific performance metrics and service standards
6. Compliance Procedures: Detailed compliance procedures and requirements
7. Data Protection Requirements: Specific data protection and privacy requirements
8. Business Continuity Requirements: Business continuity and disaster recovery specifications
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