Connecticut 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 Connecticut Sub-Advisory Agreement of Berger and Berman Management, Inc. is a legally binding document that outlines the terms and conditions under which Berger and Berman Management, Inc. provides sub-advisory services in Connecticut. A sub-advisory agreement is a type of contract where one investment advisor, in this case, Berger and Berman Management, Inc., engages another investment advisor to manage a portion or all of its client's assets. This agreement enables Berger and Berman Management, Inc. to leverage the expertise and resources of the sub-advisor to enhance the overall investment strategy for clients based in Connecticut. The Connecticut Sub-Advisory Agreement covers a range of important aspects including but not limited to: 1. Parties involved: It identifies Berger and Berman Management, Inc. (the primary investment advisor) and the sub-advisor engaged to perform the sub-advisory services in Connecticut. 2. Nature of the sub-advisory relationship: The agreement clarifies the specific duties and responsibilities of the sub-advisor, which may include portfolio management, security selection, research, risk analysis, and other related investment activities. 3. Investment objectives and restrictions: It outlines the investment objectives, risk tolerance, and any specific investment restrictions that the sub-advisor must adhere to when managing the assets. 4. Compensation: The agreement specifies the fee structure for the sub-advisory services, whether it is a flat fee, a percentage of assets under management, or other mutually agreed-upon compensation arrangements. 5. Reporting and communication: It establishes the frequency and format of reporting to be provided by the sub-advisor, including performance reports, investment commentary, and any other information deemed important by the primary investment advisor. 6. Termination provisions: The agreement includes provisions for termination or amendment, outlining the notice period and circumstances under which either party can terminate the agreement. Different types of Connecticut Sub-Advisory Agreements within Berger and Berman Management, Inc. may depend on the specific investment strategies, clients, and asset classes involved. Examples of such agreements include: 1. Equity Sub-Advisory Agreement: This type of agreement focuses on the management of equity portfolios, involving the selection and management of individual stocks or exchange-traded funds. 2. Fixed Income Sub-Advisory Agreement: In this agreement, the sub-advisor specializes in managing fixed income securities such as government bonds, corporate bonds, and other debt instruments. 3. Multi-Asset Sub-Advisory Agreement: This agreement involves the management of diversified portfolios comprising various asset classes, including equities, fixed income, and alternative investments such as real estate or commodities. 4. Sector-Specific Sub-Advisory Agreement: Certain agreements may be tailored to a specific sector or industry, allowing the sub-advisor to focus on a particular market segment, such as technology, healthcare, or energy. These are just a few examples of potential Connecticut Sub-Advisory Agreements of Berger and Berman Management, Inc., highlighting the various types of engagements that may exist based on investment strategies and client needs. It is important to consult the specific agreement for accurate and up-to-date information.

The Connecticut Sub-Advisory Agreement of Berger and Berman Management, Inc. is a legally binding document that outlines the terms and conditions under which Berger and Berman Management, Inc. provides sub-advisory services in Connecticut. A sub-advisory agreement is a type of contract where one investment advisor, in this case, Berger and Berman Management, Inc., engages another investment advisor to manage a portion or all of its client's assets. This agreement enables Berger and Berman Management, Inc. to leverage the expertise and resources of the sub-advisor to enhance the overall investment strategy for clients based in Connecticut. The Connecticut Sub-Advisory Agreement covers a range of important aspects including but not limited to: 1. Parties involved: It identifies Berger and Berman Management, Inc. (the primary investment advisor) and the sub-advisor engaged to perform the sub-advisory services in Connecticut. 2. Nature of the sub-advisory relationship: The agreement clarifies the specific duties and responsibilities of the sub-advisor, which may include portfolio management, security selection, research, risk analysis, and other related investment activities. 3. Investment objectives and restrictions: It outlines the investment objectives, risk tolerance, and any specific investment restrictions that the sub-advisor must adhere to when managing the assets. 4. Compensation: The agreement specifies the fee structure for the sub-advisory services, whether it is a flat fee, a percentage of assets under management, or other mutually agreed-upon compensation arrangements. 5. Reporting and communication: It establishes the frequency and format of reporting to be provided by the sub-advisor, including performance reports, investment commentary, and any other information deemed important by the primary investment advisor. 6. Termination provisions: The agreement includes provisions for termination or amendment, outlining the notice period and circumstances under which either party can terminate the agreement. Different types of Connecticut Sub-Advisory Agreements within Berger and Berman Management, Inc. may depend on the specific investment strategies, clients, and asset classes involved. Examples of such agreements include: 1. Equity Sub-Advisory Agreement: This type of agreement focuses on the management of equity portfolios, involving the selection and management of individual stocks or exchange-traded funds. 2. Fixed Income Sub-Advisory Agreement: In this agreement, the sub-advisor specializes in managing fixed income securities such as government bonds, corporate bonds, and other debt instruments. 3. Multi-Asset Sub-Advisory Agreement: This agreement involves the management of diversified portfolios comprising various asset classes, including equities, fixed income, and alternative investments such as real estate or commodities. 4. Sector-Specific Sub-Advisory Agreement: Certain agreements may be tailored to a specific sector or industry, allowing the sub-advisor to focus on a particular market segment, such as technology, healthcare, or energy. These are just a few examples of potential Connecticut Sub-Advisory Agreements of Berger and Berman Management, Inc., highlighting the various types of engagements that may exist based on investment strategies and client needs. It is important to consult the specific agreement for accurate and up-to-date information.