Sub-Advisory Agreement between Touchstone Advisors, Inc. and Opcap Advisors
Overview of this form
The Sub-Advisory Agreement between Touchstone Advisors, Inc. and Opcap Advisors is a legal document outlining the relationship where Touchstone Advisors retains Opcap Advisors to provide portfolio management services for the Touchstone Balanced Fund. This form specifies the responsibilities and expectations of both parties in managing the fundâs assets and aligns with regulatory requirements under the Investment Advisers Act of 1940.
Form components explained
- Definitions of terms like âAdvisorâ and âSub-Advisorâ and their roles.
- Details on the employment of the Sub-Advisor and their duties regarding fund management.
- Compensation structure for the Sub-Advisor based on fund assets.
- Provisions for termination and renewal of the agreement.
- Indemnity clauses limiting liability of both the Sub-Advisor and the Trust.
Common use cases
This form is needed when an investment advisor seeks to engage another investment advisor (the Sub-Advisor) to manage certain assets in a fund. It is typically used in the context of mutual funds and similar investment vehicles, ensuring that investment strategies align with regulatory standards and investor interests.
Intended users of this form
- Investment advisors who wish to delegate portfolio management responsibilities.
- Entities managing mutual funds looking for compliance with regulatory requirements.
- Financial institutions needing a structured agreement for sub-advisory relationships.
Steps to complete this form
- Identify and input the full names of the Advisor and Sub-Advisor as parties to the agreement.
- Specify the effective date of the agreement and any relevant existing contracts.
- Outline the specific duties and responsibilities of the Sub-Advisor regarding portfolio management.
- Detail the compensation terms based on the fund's asset levels and ensure clarity on fee calculations.
- Include clauses regarding termination rights, liability limitations, and compliance with applicable laws.
Notarization guidance
This form usually doesn’t need to be notarized. However, local laws or specific transactions may require it. Our online notarization service, powered by Notarize, lets you complete it remotely through a secure video session, available 24/7.
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Make edits, fill in missing information, and update formatting in US Legal Forms—just like you would in MS Word.
Download a copy, print it, send it by email, or mail it via USPS—whatever works best for your next step.
Sign and collect signatures with our SignNow integration. Send to multiple recipients, set reminders, and more. Go Premium to unlock E-Sign.
If this form requires notarization, complete it online through a secure video call—no need to meet a notary in person or wait for an appointment.
We protect your documents and personal data by following strict security and privacy standards.
Typical mistakes to avoid
- Failing to clearly define the roles and responsibilities of each party.
- Neglecting to update the agreement for changes in fund management or regulatory compliance.
- Not ensuring proper signatures and acceptance from all parties involved before execution.
Advantages of online completion
- Convenience: Easily download and customize the form to fit specific needs.
- Editability: Make necessary changes online without the hassle of printing multiple copies.
- Reliability: Forms are drafted to comply with current legal standards and regulations.
Main things to remember
- This Sub-Advisory Agreement is essential for outlining the relationship between advisors in fund management.
- Understanding the compensation and duties is crucial for compliance and operational efficacy.
- Properly completing and executing the agreement can safeguard against legal and financial missteps.
