Kansas 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 Kansas Sub-Advisory Agreement of Berger and Berman Management, Inc. is a legally binding contract between Berger and Berman Management, Inc. (the "Advisor") and its clients in Kansas (the "Sub-Advisor"). This agreement outlines the terms and conditions under which the Advisor delegates certain investment management responsibilities to the Sub-Advisor. The purpose of the Kansas Sub-Advisory Agreement is to define the roles, responsibilities, and compensation structure for the Sub-Advisor in managing the investment portfolios of the Advisor's clients in Kansas. It ensures that the Sub-Advisor operates within the framework set by the Advisor, adhering to the investment objectives, guidelines, and restrictions determined by the Advisor. Key terms and clauses included in the Kansas Sub-Advisory Agreement may encompass the following: 1. Scope of Services: This section outlines the specific investment management services the Sub-Advisor will provide, such as portfolio construction, asset allocation, security selection, and risk management. It also defines any limitations or exclusions on the Sub-Advisor's authority. 2. Investment Guidelines: The agreement includes detailed investment guidelines that the Sub-Advisor must follow when making investment decisions on behalf of the Advisor's clients. These guidelines may specify eligible asset classes, risk tolerance levels, concentration limits, and any ethical or socially responsible investment considerations. 3. Reporting and Review: The agreement typically requires the Sub-Advisor to provide regular reports to the Advisor, detailing portfolio performance, holdings, transactions, and any other information necessary for the Advisor to monitor the Sub-Advisor's activities. The frequency and format of these reports are usually specified. 4. Compensation and Fees: The Kansas Sub-Advisory Agreement includes provisions establishing the compensation structure for the Sub-Advisor, such as a management fee, performance-based fees, or a combination of both. It may also outline any expenses that the Sub-Advisor can pass on to the Advisor's clients. 5. Termination and Amendment: This section specifies the conditions under which either party can terminate or amend the agreement. It may include notice periods, termination reasons, and any associated penalties or fees. Types of Kansas Sub-Advisory Agreements of Berger and Berman Management, Inc.: 1. Equity Sub-Advisory Agreement: This type of agreement focuses on the management of equity-based investment portfolios. It entails the Sub-Advisor specializing in equity research, stock selection, and constructing portfolios tailored to match the Advisor's investment objectives. 2. Fixed Income Sub-Advisory Agreement: This agreement concentrates on the management of fixed income or debt-based investment portfolios. The Sub-Advisor in this case possesses expertise in analyzing credit quality, bond selection, and constructing fixed income portfolios aligned with the Advisor's goals. 3. Multi-Asset Sub-Advisory Agreement: This comprehensive agreement covers the management of diverse investment portfolios incorporating various asset classes like equities, fixed income, real estate, commodities, or alternative investments. The Sub-Advisor is responsible for developing strategies that align the asset allocation with the Advisor's risk appetite and investment objectives. By understanding the specifics of the Kansas Sub-Advisory Agreement of Berger and Berman Management, Inc., both the Advisor and the Sub-Advisor can ensure a clear and mutually beneficial relationship while effectively managing investment portfolios and meeting the needs of clients.

The Kansas Sub-Advisory Agreement of Berger and Berman Management, Inc. is a legally binding contract between Berger and Berman Management, Inc. (the "Advisor") and its clients in Kansas (the "Sub-Advisor"). This agreement outlines the terms and conditions under which the Advisor delegates certain investment management responsibilities to the Sub-Advisor. The purpose of the Kansas Sub-Advisory Agreement is to define the roles, responsibilities, and compensation structure for the Sub-Advisor in managing the investment portfolios of the Advisor's clients in Kansas. It ensures that the Sub-Advisor operates within the framework set by the Advisor, adhering to the investment objectives, guidelines, and restrictions determined by the Advisor. Key terms and clauses included in the Kansas Sub-Advisory Agreement may encompass the following: 1. Scope of Services: This section outlines the specific investment management services the Sub-Advisor will provide, such as portfolio construction, asset allocation, security selection, and risk management. It also defines any limitations or exclusions on the Sub-Advisor's authority. 2. Investment Guidelines: The agreement includes detailed investment guidelines that the Sub-Advisor must follow when making investment decisions on behalf of the Advisor's clients. These guidelines may specify eligible asset classes, risk tolerance levels, concentration limits, and any ethical or socially responsible investment considerations. 3. Reporting and Review: The agreement typically requires the Sub-Advisor to provide regular reports to the Advisor, detailing portfolio performance, holdings, transactions, and any other information necessary for the Advisor to monitor the Sub-Advisor's activities. The frequency and format of these reports are usually specified. 4. Compensation and Fees: The Kansas Sub-Advisory Agreement includes provisions establishing the compensation structure for the Sub-Advisor, such as a management fee, performance-based fees, or a combination of both. It may also outline any expenses that the Sub-Advisor can pass on to the Advisor's clients. 5. Termination and Amendment: This section specifies the conditions under which either party can terminate or amend the agreement. It may include notice periods, termination reasons, and any associated penalties or fees. Types of Kansas Sub-Advisory Agreements of Berger and Berman Management, Inc.: 1. Equity Sub-Advisory Agreement: This type of agreement focuses on the management of equity-based investment portfolios. It entails the Sub-Advisor specializing in equity research, stock selection, and constructing portfolios tailored to match the Advisor's investment objectives. 2. Fixed Income Sub-Advisory Agreement: This agreement concentrates on the management of fixed income or debt-based investment portfolios. The Sub-Advisor in this case possesses expertise in analyzing credit quality, bond selection, and constructing fixed income portfolios aligned with the Advisor's goals. 3. Multi-Asset Sub-Advisory Agreement: This comprehensive agreement covers the management of diverse investment portfolios incorporating various asset classes like equities, fixed income, real estate, commodities, or alternative investments. The Sub-Advisor is responsible for developing strategies that align the asset allocation with the Advisor's risk appetite and investment objectives. By understanding the specifics of the Kansas Sub-Advisory Agreement of Berger and Berman Management, Inc., both the Advisor and the Sub-Advisor can ensure a clear and mutually beneficial relationship while effectively managing investment portfolios and meeting the needs of clients.