The Arizona Sub-Advisory Agreement of Berger and Berman Management, Inc. is a contract that outlines the terms and conditions of a sub-advisory relationship between Berger and Berman Management, Inc. and a financial institution or investment advisor operating in the state of Arizona. This agreement provides a detailed framework for the parties involved, ensuring transparency, compliance, and the protection of the interests of all stakeholders. One type of Arizona Sub-Advisory Agreement offered by Berger and Berman Management, Inc. is the "Standard Arizona Sub-Advisory Agreement." This agreement establishes the basic terms and conditions that govern the relationship between Berger and Berman Management, Inc. and the participating financial institution or investment advisor. It covers areas such as responsibilities, compensation, termination, confidentiality, and dispute resolution. Another type of Arizona Sub-Advisory Agreement provided by Berger and Berman Management, Inc. is the "Customized Arizona Sub-Advisory Agreement." This agreement is tailored to meet the specific needs and requirements of a financial institution or investment advisor in Arizona, addressing unique circumstances, preferences, and objectives. The customized agreement goes into further detail and allows for flexibility within the framework of the sub-advisory relationship. Key elements and provisions typically found in the Arizona Sub-Advisory Agreement of Berger and Berman Management, Inc. include: 1. Parties: Identification of the financial institution or investment advisor ("Client") and Berger and Berman Management, Inc. ("Sub-Advisor") involved in the sub-advisory relationship. 2. Scope of Services: Clearly defining the responsibilities, duties, and services to be provided by the Sub-Advisor. This may encompass investment management, research, portfolio construction, and other relevant activities. 3. Compensation: Determining the agreed-upon fee structure, including management fees, performance-based fees, and any other charges or expenses associated with the sub-advisory services. 4. Compliance and Regulatory Requirements: Ensuring adherence to all applicable laws, regulations, and industry standards, including providing disclosure of any conflicts of interest. 5. Term and Termination: Establishing the duration of the agreement and outlining conditions and procedures for termination by either party, including notice periods and potential financial penalties. 6. Confidentiality: Setting forth guidelines to protect confidential information shared between the Client and Sub-Advisor during the course of the relationship. 7. Risk Management: Defining risk limits, risk assessment methodologies, and procedures for reporting and addressing potential risk exposures. 8. Dispute Resolution: Establishing a mechanism for resolving any conflicts or disputes that may arise, such as mediation or arbitration, and identifying the applicable jurisdiction for legal proceedings. It is important to note that the specific terms and conditions outlined in the Arizona Sub-Advisory Agreement may vary depending on the nature of the sub-advisory relationship, the particular requirements of the Client, and the negotiation process between the parties involved.
Arizona Sub-Advisory Agreement of Neuberger and Berman Management, Inc.
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A subadvisory agreement is a legally binding agreement between a mutual fund and an advisor. These agreements outline the terms and conditions of the relationship between the fund and the advisor and what rights and responsibilities are expected of each party.
Neuberger Berman is a private, independent, employee-owned investment manager?a rare structure for a large asset management firm, almost all of which are either public or owned by other financial institutions.
With offices in 25 countries, Neuberger Berman's diverse team has over 2,400 professionals. For eight consecutive years, the company has been named first or second in Pensions & Investments Best Places to Work in Money Management survey (among those with 1,000 employees or more).
At Neuberger Berman, our mission is clear ? to partner with clients to achieve their unique investment objectives. Since 1939, Neuberger Berman has been a leader in the asset management business servicing the investment needs of institutional and individual investors.
Neuberger Berman Group LLC is a private, independent, employee-owned investment management firm. The firm manages equities, fixed income, private equity and hedge fund portfolios for global institutional investors, advisors and high-net-worth individuals.
Neuberger Berman is an experienced hedge fund solutions provider investing on behalf of institutional, high-net-worth and retail clients via registered liquid alternative funds, custom portfolios, and commingled products.
From offices in 39 cities across 26 countries, Neuberger Berman manages a range of equity, fixed income, private equity and hedge fund strategies on behalf of institutions, advisors and individual investors worldwide.
Neuberger Berman BD LLC is a registered broker-dealer and member FINRA/SIPC.