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Fund Distribution Agreement
"I need a Fund Distribution Agreement for our Hong Kong asset management firm to appoint a local bank as non-exclusive distributor of our retail mutual funds, with specific provisions for digital distribution channels and white-labeling rights."
1. Parties: Identification of the Fund Manager/Provider and the Distributor, including regulatory status and licenses
2. Background: Context of the agreement, including brief description of the funds and distribution arrangement
3. Definitions: Key terms used throughout the agreement, including regulatory terms and fund-specific definitions
4. Appointment and Scope: Terms of distributor appointment, territory, exclusivity/non-exclusivity, and permitted activities
5. Regulatory Compliance: Obligations regarding SFC requirements, licensing, and other regulatory obligations
6. Distribution obligations: Specific duties of the distributor including marketing, client onboarding, and subscription processing
7. Fees and Commission: Commission structure, payment terms, and related financial arrangements
8. AML and KYC Requirements: Anti-money laundering and know-your-client obligations
9. Marketing and Materials: Requirements for marketing materials and approval processes
10. Reporting and Records: Required reports, record-keeping obligations, and audit rights
11. Representations and Warranties: Standard and specific warranties from both parties
12. Confidentiality: Confidentiality obligations and permitted disclosures
13. Data Protection: Compliance with PDPO and data handling requirements
14. Indemnification: Mutual indemnification provisions and liability allocation
15. Term and Termination: Duration, renewal, and termination provisions
16. Post-Termination: Obligations and rights after termination
17. General Provisions: Standard boilerplate clauses including notices, amendments, governing law
1. White Labelling: Include when distributor will rebrand or white label the funds
2. Digital Distribution: Include for online/digital distribution channels
3. Sub-Distribution: Include if sub-distributors are permitted
4. Service Levels: Include if specific performance metrics are required
5. Insurance: Include if specific insurance requirements are needed
6. Training: Include if distributor staff training requirements are specified
7. Business Continuity: Include if specific disaster recovery/business continuity requirements are needed
1. Schedule 1 - Funds: List and details of funds covered by the agreement
2. Schedule 2 - Commission Structure: Detailed commission calculations and payment terms
3. Schedule 3 - Operating Procedures: Detailed operational procedures for subscriptions, redemptions, and reporting
4. Schedule 4 - Marketing Guidelines: Specific requirements for marketing materials and approval process
5. Schedule 5 - Compliance Requirements: Detailed regulatory compliance requirements and procedures
6. Schedule 6 - Contact Details: Key contacts and escalation procedures
7. Appendix A - Required Reports: Templates and specifications for required reports
8. Appendix B - Service Levels: Detailed service level requirements and metrics
Authors
Asset Management
Banking
Financial Services
Investment Management
Wealth Management
Securities Trading
Insurance
FinTech
Investment Advisory
Legal
Compliance
Distribution
Sales
Operations
Risk Management
Product Development
Business Development
Investment Management
Client Services
Head of Distribution
Chief Legal Officer
Compliance Officer
Fund Manager
Investment Director
Business Development Manager
Relationship Manager
Chief Operating Officer
Risk Manager
Legal Counsel
Compliance Manager
Distribution Director
Sales Director
Product Manager
Operations Manager
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