The Salt Lake Utah Sub-Advisory Agreement between Touchstone Advisors, Inc. and OPCA Advisors is a comprehensive agreement that outlines the terms and conditions governing the relationship between the two entities in the context of sub-advisory services provided in the Salt Lake City area of Utah. This agreement is designed to ensure a transparent, efficient, and mutually beneficial collaboration between Touchstone Advisors, Inc. and OPCA Advisors. Key elements of this agreement include: 1. Scope of Services: The agreement clearly defines the scope of sub-advisory services that OPCA Advisors will provide to Touchstone Advisors, Inc. in the Salt Lake City area. It identifies the specific investment strategies, assets, and portfolios that OPCA Advisors will manage on behalf of Touchstone Advisors, Inc. 2. Responsibilities and Obligations: The agreement details the responsibilities and obligations of both parties. It outlines the duties of Touchstone Advisors, Inc. as the primary advisor, including the provision of necessary client information, performance reporting, and compliance with legal and regulatory requirements. It also highlights the obligations of OPCA Advisors as the sub-advisor, such as investment management, monitoring portfolios, and providing periodic updates to Touchstone Advisors, Inc. 3. Compensation and Fee Structure: The agreement specifies the compensation structure for OPCA Advisors, including management fees, performance-based fees, or any other agreed-upon payment arrangements. It also addresses the reimbursement of expenses incurred by the sub-advisor while delivering services. 4. Compliance and Regulatory Matters: This agreement underscores the importance of adherence to all applicable laws, regulations, and industry standards. Both parties commit to maintaining compliance with relevant securities, fiduciary, and investment advisor requirements. 5. Termination and Transition: The agreement outlines the conditions and procedures for termination, including the notice period, termination fees, and the transition of responsibilities and client accounts back to Touchstone Advisors, Inc. It is important to note that while there may not be specifically different types of Salt Lake Utah Sub-Advisory Agreements between Touchstone Advisors, Inc. and OPCA Advisors, there could be variations in the terms and conditions based on the specific investment strategies, asset classes, or portfolio types being managed by OPCA Advisors as the sub-advisor. These variations would be agreed upon and documented in separate addendums or exhibits to the main agreement to ensure clarity and specificity in the services being provided.
Salt Lake Utah Sub-Advisory Agreement between Touchstone Advisors, Inc. and Opcap Advisors
Description
How to fill out Salt Lake Utah Sub-Advisory Agreement Between Touchstone Advisors, Inc. And Opcap Advisors?
Whether you plan to open your business, enter into a contract, apply for your ID renewal, or resolve family-related legal concerns, you need to prepare specific documentation meeting your local laws and regulations. Locating the correct papers may take a lot of time and effort unless you use the US Legal Forms library.
The service provides users with more than 85,000 professionally drafted and checked legal templates for any personal or business occurrence. All files are collected by state and area of use, so opting for a copy like Salt Lake Sub-Advisory Agreement between Touchstone Advisors, Inc. and Opcap Advisors is quick and simple.
The US Legal Forms website users only need to log in to their account and click the Download key next to the required form. If you are new to the service, it will take you a couple of additional steps to get the Salt Lake Sub-Advisory Agreement between Touchstone Advisors, Inc. and Opcap Advisors. Adhere to the instructions below:
- Make certain the sample meets your personal needs and state law regulations.
- Read the form description and check the Preview if available on the page.
- Use the search tab specifying your state above to find another template.
- Click Buy Now to get the file once you find the right one.
- Choose the subscription plan that suits you most to proceed.
- Log in to your account and pay the service with a credit card or PayPal.
- Download the Salt Lake Sub-Advisory Agreement between Touchstone Advisors, Inc. and Opcap Advisors in the file format you prefer.
- Print the copy or fill it out and sign it electronically via an online editor to save time.
Documents provided by our website are reusable. Having an active subscription, you are able to access all of your earlier purchased paperwork whenever you need in the My Forms tab of your profile. Stop wasting time on a endless search for up-to-date official documentation. Sign up for the US Legal Forms platform and keep your paperwork in order with the most comprehensive online form collection!
Form popularity
FAQ
What constitutes "taking custody" under the NASAA rule for investment advisers? Generally, acting as a trustee means that the trustee is managing assets for a beneficiary, and in doing so, has taken "custody." Note that broker-dealers are not subject to this rule - it is only for investment advisers.
The investment adviser (the firm) must be registered with the SEC if it has $100,000,000 or more of assets under management (a federal covered adviser). If the firm has less than $100,000,000 of assets under management, then it only is required to register with the State.
They are the product of relationships formed across the investment management business. They allow an investment manager to contract with other investment managers to offer funds with specific investment objectives. Sub-advisory relationships allow for one alternative in launching new funds for investors.
Which of the following must be included in an investment advisory contract under NASAA rules? Disclosure that the fee for managing equity securities may be higher than the fee for managing debt securities. An investment adviser is "bought out" by another advisory firm.
While there are some exceptions, in general, investment advisors with $100 million or greater in regulatory assets under management (AUM) must register with the SEC as Registered Investment Adviser (RIA).
Which of the following is prohibited in an advisory contract under NASAA rules? The best answer is B. A "liquidated damages provision" in an advisory contract would state that if the customer suffers a loss, the adviser is responsible.
The investment advisory contract must disclose the manner in which the adviser will be compensated. The contract must also include a statement that the adviser may not assign the contract to another party unless the client consents and may not be compensated based on a share of capital gains.
In accordance with the Investment Company Act of 1940, investment companies must register with the SEC before they can offer their securities in the public market. The Act also lays out the steps an investment company is required to take during this registration process.
Introduction. The Securities and Exchange Commission (the "Commission" or "SEC") regulates investment advisers, primarily under the Investment Advisers Act of 1940 (the "Advisers Act"), and the rules adopted under that statute (the "rules").
Which of the following is an acceptable investment advisory contract provision under the Uniform Securities Act? The best answer is C. Investment advisers can receive a fee based on a percentage of all assets under management; however, they cannot be compensated based solely on capital gains achieved.