A Sub Advisor Agreement is essential when an investment manager or financial institution wishes to delegate certain investment management responsibilities to another qualified entity while maintaining regulatory compliance and oversight. This document, governed by Austrian law, is particularly relevant in scenarios where specialized investment expertise is required or when managing complex investment strategies across different asset classes. The agreement must comply with Austrian financial regulations, including the Securities Supervision Act (WAG 2018) and Banking Act (BWG), while addressing crucial aspects such as investment guidelines, risk management, reporting requirements, and data protection. It's commonly used by investment firms, fund managers, and financial institutions operating in Austria who need to formalize sub-advisory relationships while ensuring regulatory compliance and protecting client interests.
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1. Parties: Identification of the primary investment advisor and sub-advisor, including regulatory registration details
2. Background: Context of the arrangement, including primary advisor's authority to delegate and sub-advisor's qualifications
3. Definitions: Key terms used throughout the agreement, including investment-related terminology and regulatory references
4. Appointment and Scope of Services: Formal appointment of sub-advisor and detailed description of delegated investment management duties
5. Regulatory Compliance: Obligations to comply with Austrian financial regulations, including WAG 2018 and BWG requirements
6. Standard of Care and Representations: Professional standards, fiduciary duties, and material representations of both parties
7. Fees and Expenses: Compensation structure, payment terms, and allocation of expenses
8. Risk Management and Investment Guidelines: Investment restrictions, risk parameters, and compliance monitoring procedures
9. Reporting and Oversight: Regular reporting requirements, performance monitoring, and oversight mechanisms
10. Confidentiality and Data Protection: Obligations regarding confidential information and compliance with DSG and GDPR
11. Liability and Indemnification: Allocation of liability, indemnification provisions, and insurance requirements
12. Term and Termination: Duration of agreement, termination rights, and post-termination obligations
13. General Provisions: Standard clauses including notices, amendments, governing law, and dispute resolution
1. Intellectual Property Rights: Include when proprietary investment methods, software, or trading strategies are involved
2. Non-Competition and Non-Solicitation: Include when protecting client relationships or investment strategies is crucial
3. Business Continuity: Include when required by regulatory obligations or client requirements
4. Anti-Money Laundering Compliance: Include when sub-advisor has direct client contact or handles client funds
5. Marketing and Communications: Include when sub-advisor will be involved in client communications or marketing materials
6. Key Personnel: Include when specific individuals are essential to the service delivery
1. Investment Guidelines: Detailed investment restrictions, guidelines, and permitted instruments
2. Fee Schedule: Detailed breakdown of fees, calculation methods, and payment terms
3. Service Level Agreement: Specific performance metrics, service standards, and reporting requirements
4. Compliance Procedures: Detailed compliance protocols and regulatory requirements
5. Data Processing Agreement: Detailed terms for personal data processing under GDPR and DSG
6. Key Personnel: List of key team members and their responsibilities
7. Form of Reports: Ƶ and formats for required reporting
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