The Fund Distribution Agreement serves as the cornerstone document governing the relationship between investment fund sponsors and their distribution partners in the United States. This agreement is essential when a fund company seeks to expand its distribution network through financial intermediaries. The document outlines critical elements such as distribution rights, compensation structures, regulatory compliance requirements, and operational procedures, all while ensuring adherence to SEC regulations, FINRA rules, and state securities laws. The agreement typically includes detailed provisions for reporting, marketing standards, and service level requirements.
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1. Parties: Identification of the fund company/sponsor and the distributor
2. Background: Context of the agreement, including nature of the funds and distribution relationship
3. Definitions: Key terms used throughout the agreement including 'Funds', 'Shares', 'Distribution Services'
4. Appointment and Authorization: Formal appointment of distributor and scope of distribution rights
5. Distribution Obligations: Core responsibilities of the distributor
6. Compensation: Fee structure, payment terms, and calculation methods
7. Compliance Requirements: Regulatory compliance obligations and requirements
8. Term and Termination: Duration of agreement and termination provisions
9. Representations and Warranties: Standard declarations by both parties
1. Sub-distributor Provisions: Terms for appointing sub-distributors when distributor may appoint sub-distributors
2. International Distribution: Specific provisions for cross-border distribution when distribution includes non-US territories
3. Digital Distribution: Terms specific to online/digital distribution channels when distribution includes digital platforms
1. Schedule A - List of Funds: Detailed list of funds covered by the agreement
2. Schedule B - Fee Schedule: Detailed compensation structure including distribution fees and trail commissions
3. Schedule C - Territory: Defined geographical areas for distribution
4. Appendix 1 - Compliance Procedures: Detailed compliance requirements and procedures
5. Appendix 2 - Service Level Requirements: Specific performance metrics and service standards
6. Appendix 3 - Marketing Guidelines: Rules and requirements for marketing and promotional activities
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