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Sub Advisor Agreement

Sub Advisor Agreement Template for Denmark

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Sub Advisor Agreement

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Document background
The Sub Advisor Agreement is essential in the Danish financial services industry when a primary investment advisor seeks to delegate certain investment management responsibilities to a specialized third party. This document is particularly relevant when expanding investment capabilities, accessing specific market expertise, or optimizing resource allocation. The agreement must comply with Danish financial regulations, including the Financial Business Act and relevant EU directives. It typically includes detailed provisions for investment guidelines, regulatory compliance, reporting requirements, and risk management procedures. The document is structured to meet both Danish legal requirements and international best practices in investment management, making it suitable for both domestic and cross-border arrangements. The Sub Advisor Agreement becomes especially important when firms need to demonstrate proper oversight and governance to Danish regulatory authorities.
Suggested Sections

1. Parties: Identification of the primary advisor and sub-advisor, including regulatory status and contact details

2. Background: Context of the agreement, including the primary advisor's relationship with its clients and need for sub-advisory services

3. Definitions: Key terms used throughout the agreement, including regulatory and technical terms

4. Appointment and Scope of Services: Formal appointment of sub-advisor and detailed description of services to be provided

5. Regulatory Compliance: Obligations to comply with Danish financial regulations and maintaining necessary licenses

6. Duties and Responsibilities: Specific obligations of the sub-advisor, including investment guidelines and restrictions

7. Fees and Payment Terms: Compensation structure, calculation methods, and payment terms

8. Reporting and Documentation: Required reports, frequency, and format of reporting to the primary advisor

9. Representations and Warranties: Standard and specific confirmations from both parties

10. Confidentiality and Data Protection: GDPR compliance and protection of confidential information

11. Liability and Indemnification: Allocation of risks and responsibilities for losses

12. Term and Termination: Duration of agreement and circumstances for termination

13. General Provisions: Standard clauses including notices, amendments, governing law, and jurisdiction

Optional Sections

1. Non-Competition: Restrictions on competing activities, used when sub-advisor may have access to sensitive client information or strategies

2. Intellectual Property: IP rights and usage terms, included when proprietary trading strategies or software are involved

3. Business Continuity: Disaster recovery and business continuity requirements, important for critical service relationships

4. Marketing and Branding: Rules for using each party's name and brand, included when sub-advisor will have client-facing roles

5. Key Personnel: Identification of essential team members, included when specific expertise is crucial to the service

6. Insurance Requirements: Specific insurance coverage requirements, detailed section when standard provisions are insufficient

Suggested Schedules

1. Schedule 1 - Services Description: Detailed outline of sub-advisory services and investment strategies

2. Schedule 2 - Fee Schedule: Detailed fee calculations, including any performance fees or special arrangements

3. Schedule 3 - Investment Guidelines: Specific investment restrictions, benchmarks, and risk parameters

4. Schedule 4 - Reporting Requirements: Templates and specifications for required reports

5. Schedule 5 - Data Processing Agreement: GDPR-compliant data processing terms and procedures

6. Schedule 6 - Service Level Agreement: Performance metrics and service quality standards

7. Appendix A - Contact Details: Key contacts and escalation procedures for both parties

8. Appendix B - Compliance Procedures: Detailed compliance requirements and procedures

Authors

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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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