The North Carolina Sub-Advisory Agreement is a contractual agreement between Berger and Berman Management, Inc. (BMI) and a financial institution or client based in North Carolina. This agreement outlines the terms and conditions under which BMI will act as a sub-adviser for the client's investment portfolio in compliance with North Carolina laws and regulations. Key terms included in the North Carolina Sub-Advisory Agreement typically cover the responsibilities and obligations of both parties, the fees and compensation structure, investment guidelines and restrictions, portfolio management objectives, disclosure requirements, termination clauses, and any applicable dispute resolution provisions. This agreement is crucial in establishing a formal relationship between BMI and the client, ensuring transparency and aligning the interests of both parties. Within the North Carolina Sub-Advisory Agreement of BMI, there can be different types depending on the nature of the client's investment needs or preferences. Some possible variations of North Carolina Sub-Advisory Agreement may include: 1. Equity Sub-Advisory Agreement: This type of agreement focuses on the management of equity investments. It outlines specific strategies and objectives related to the client's equity portfolio, such as sector allocation, risk management, and performance benchmarks. 2. Fixed Income Sub-Advisory Agreement: In this agreement, BMI concentrates on managing fixed income or bond investments. It defines the scope of fixed income asset classes, duration targets, credit quality, and other relevant criteria necessary to fulfill the client's fixed income investment goals. 3. Balanced Sub-Advisory Agreement: This type defines a comprehensive approach where BMI manages both equity and fixed income investments. It stipulates the desired asset allocation between equities and fixed income, rebalancing criteria, and risk management strategies to achieve a balanced investment portfolio. 4. Specialized Sub-Advisory Agreement: If the client has specific investment requirements, such as alternative investments, real estate, or other specialized asset classes, this type of agreement may be established to accommodate those specific needs. It outlines the unique terms and conditions relevant to the specialized investment area. These are just a few examples of potential North Carolina Sub-Advisory Agreement variations that may exist within the Berger and Berman Management, Inc. framework. The specific type and terms of the agreement would depend on the individual preferences and investment objectives of the client seeking BMI's sub-advisory services within the North Carolina jurisdiction.
North Carolina Sub-Advisory Agreement of Neuberger and Berman Management, Inc.
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Neuberger Berman BD LLC is a registered broker-dealer and member FINRA/SIPC.
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