The Sub Advisor Agreement is essential in the Irish financial services sector when an investment advisor or fund manager wishes to delegate certain investment management responsibilities to another professional entity. This document is particularly crucial given Ireland's position as a major financial services hub and must comply with both Irish and EU regulatory requirements. The Sub Advisor Agreement covers critical aspects such as investment strategies, risk management, compliance procedures, reporting requirements, and fee structures. It is designed to meet the requirements of the Central Bank of Ireland, incorporating necessary provisions from MiFID II, GDPR, and other relevant regulations. The agreement is typically used by regulated financial entities and must address specific regulatory obligations, fiduciary responsibilities, and operational requirements while ensuring appropriate oversight and control mechanisms are in place.
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1. Parties: Identification of the primary advisor and sub-advisor, including regulatory status and contact details
2. Background: Context of the agreement, regulatory framework, and brief description of the services
3. Definitions: Definitions of key terms used throughout the agreement
4. Appointment and Scope: Formal appointment of sub-advisor and detailed scope of services
5. Regulatory Compliance: Obligations regarding regulatory compliance, licenses, and authorizations
6. Duties and Responsibilities: Detailed responsibilities of both parties, including investment guidelines and restrictions
7. Fees and Expenses: Fee structure, calculation methods, payment terms, and expense allocation
8. Representations and Warranties: Standard and specific representations and warranties from both parties
9. Risk Management: Risk management procedures and controls
10. Confidentiality: Confidentiality obligations and permitted disclosures
11. Data Protection: GDPR compliance and data processing obligations
12. Reporting and Documentation: Required reports, frequency, and documentation requirements
13. Standard of Care and Liability: Standard of care, indemnification, and limitation of liability
14. Term and Termination: Duration, renewal, and termination provisions
15. Post-Termination Obligations: Obligations surviving termination and transition requirements
16. General Provisions: Standard boilerplate clauses including notices, amendments, governing law
1. Cross-Border Provisions: Additional provisions for cross-border services, including regulatory requirements and tax implications
2. Key Personnel: Requirements for specific personnel to be involved in providing services
3. Service Levels: Detailed service level agreements and performance metrics
4. Business Continuity: Business continuity and disaster recovery requirements
5. Intellectual Property: IP rights and licenses if proprietary trading strategies or software are involved
6. Marketing and Promotion: Rules regarding marketing of services and use of names/logos
7. Sub-delegation: Rights and restrictions regarding further sub-delegation of services
8. Insurance: Specific insurance requirements beyond standard coverage
1. Investment Guidelines: Detailed investment guidelines, restrictions, and permitted investments
2. Fee Schedule: Detailed fee calculations, including any performance fees and examples
3. Service Level Details: Detailed service requirements, response times, and escalation procedures
4. Reporting Requirements: Ƶ and specifications for required reports
5. Key Personnel: List of key personnel and their responsibilities
6. Data Processing Requirements: Detailed data protection and processing requirements under GDPR
7. Compliance Procedures: Detailed compliance procedures and requirements
8. Form of Client Notification: Template for notifying clients about the sub-advisory arrangement
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