Sub-Advisory Agreement between Touchstone Advisors, Inc. and Opcap Advisors
About this form
The Sub-Advisory Agreement between Touchstone Advisors, Inc. and Opcap Advisors is a legal document that establishes a formal relationship between an investment advisor and a sub-advisor. This agreement outlines the responsibilities and duties of the sub-advisor in managing portfolio assets on behalf of Touchstone Balanced Fund. It ensures compliance with relevant investment acts and serves to protect the interests of the entities involved, setting it apart from other types of investment agreements by focusing specifically on the role of the sub-advisor in the management of mutual fund assets.
Key components of this form
- Identification of parties: Defines Touchstone Advisors, Inc. as the Advisor and Opcap Advisors as the Sub-Advisor.
- Duties of the Sub-Advisor: Details the responsibilities in managing fund assets and reporting obligations.
- Compensation structure: Outlines the fee arrangement for the services rendered by the Sub-Advisor.
- Liability limitations: Specifies the limits of liability for the Sub-Advisor and the Trust.
- Termination and amendment clauses: Defines how and when the agreement can be terminated or amended.
Situations where this form applies
This form is ideal for investment firms and mutual funds that wish to engage a sub-advisor for portfolio management. It is used when an investment advisor wants to delegate certain management responsibilities to a third-party sub-advisor, ensuring that all parties are clear about their roles and the terms of their collaboration. The agreement is particularly important when there is a need for specialized investment management expertise that the primary advisor may not possess.
Who needs this form
- Investment firms looking to hire sub-advisors for fund management.
- Mutual funds that require additional investment expertise from third-party advisors.
- Registered investment advisors needing to formalize their relationships with sub-advisors.
- Trust Boards seeking to establish clear agreements and limits of liability with asset managers.
How to prepare this document
- Identify and enter the full name of the Advisor and the Sub-Advisor, along with their respective addresses.
- Specify the effective date of the agreement.
- Detail the services to be provided by the Sub-Advisor and any specific responsibilities associated with the fund management.
- Set the compensation structure based on the fund's net assets, including how fees will be calculated and paid.
- Include provisions for liability limitations, termination conditions, and amendment procedures.
Is notarization required?
Notarization is generally not required for this form. However, certain states or situations might demand it. You can complete notarization online through US Legal Forms, powered by Notarize, using a verified video call available anytime.
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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.
Common mistakes to avoid
- Failing to include all parties' names and addresses correctly
- Neglecting to specify compensation details and fee structures clearly
- Not outlining the Sub-Advisor's duties or failing to align them with the overall investment strategy of the Fund
- Inadequately addressing termination and amendment procedures
Benefits of completing this form online
- Convenient access to legal templates tailored for quick completion.
- Editability allows users to customize the agreement according to their specific needs.
- Reliable, lawyer-reviewed documents ensure compliance with current legal standards.
- Easy download options facilitate immediate use and filing.
Summary of main points
- The Sub-Advisory Agreement formalizes the relationship between an investment advisor and a sub-advisor.
- Clear definitions of responsibilities and compensation help minimize conflicts and ensure smooth operations.
- Using online legal forms saves time and ensures access to up-to-date legal language and requirements.
