Arizona Sub-Advisory Agreement of Neuberger and Berman Management, Inc.

• Category: Corporations - Public - Restructuring
• State: Multi-State
• Control #: US-CC-7-644
• Format: Word; Rich Text

Description

This sample form, a detailed Sub-advisory Agreement document, is a model for use in corporate matters. The language is easily adapted to fit your specific circumstances. Available in several standard formats. 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.

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.