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Unit Subscription Agreement

Unit Subscription Agreement Template for Hong Kong

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Key Requirements PROMPT example:

Unit Subscription Agreement

"I need a Unit Subscription Agreement for a Hong Kong-based open-ended hedge fund that will accept both professional and institutional investors, with a minimum subscription amount of USD 1 million and quarterly dealing days starting March 2025."

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Document background
The Unit Subscription Agreement is a fundamental document used in Hong Kong's investment fund industry when investors wish to purchase units in a fund. This document is essential for both open-ended and closed-ended funds operating under Hong Kong law, serving as the primary contract between the fund manager and investors. The agreement must comply with Hong Kong's Securities and Futures Ordinance and incorporate specific requirements for professional investor classification, anti-money laundering checks, and risk disclosures. The Unit Subscription Agreement typically includes detailed subscription procedures, payment mechanisms, representations and warranties, and various schedules covering KYC requirements, tax declarations, and investor eligibility confirmations. It's particularly important for ensuring regulatory compliance while facilitating efficient fund operations in Hong Kong's sophisticated financial market.
Suggested Sections

1. Parties: Identification of the fund, fund manager/issuer, and subscriber

2. Background: Brief description of the fund, its structure, and the purpose of the agreement

3. Definitions and Interpretation: Key terms used throughout the agreement and interpretation rules

4. Subscription and Payment: Details of unit subscription, pricing, and payment terms

5. Representations and Warranties: Standard declarations by the subscriber regarding their status, capacity, and compliance

6. Anti-Money Laundering Provisions: Compliance requirements with AML regulations and required documentation

7. Issue of Units: Process and conditions for unit issuance and registration

8. Indemnification: Subscriber's indemnification obligations to the fund and related parties

9. Notices: Communication procedures between parties

10. Governing Law and Jurisdiction: Hong Kong law as governing law and jurisdiction details

11. General Provisions: Standard boilerplate clauses including severability, entire agreement, and amendments

Optional Sections

1. Electronic Dealing Facility: Terms for electronic subscription and trading, used when online facilities are available

2. Institutional Investor Provisions: Additional terms specific to institutional investors

3. Foreign Investment Restrictions: Additional provisions for foreign investors, used when marketing to overseas subscribers

4. Nominee Arrangements: Terms for units held through nominees or custodians

5. Side Letter Terms: Integration of side letter terms, used for significant investors with special arrangements

6. FATCA Compliance: US tax reporting requirements, required for funds accepting US investors

7. Distribution Policy: Terms regarding distribution of income/dividends, used for funds with specific distribution policies

Suggested Schedules

1. Subscription Details: Form capturing subscription amount, unit class, and subscriber details

2. Know Your Client Form: AML and due diligence questionnaire

3. Risk Disclosure Statement: Mandatory risk disclosures required by Hong Kong regulations

4. Fund Details: Summary of key fund terms, fees, and operational details

5. Tax Residency Self-Certification: Forms for tax reporting purposes including FATCA/CRS

6. Professional Investor Declaration: Forms and evidence required for professional investor status

7. Wire Transfer Instructions: Bank account details and payment procedures

8. Privacy Policy: Data privacy notice and consent forms

Authors

Alex Denne

Head of Growth (Open Source Law) @ tiktok³ÉÈË°æ | 3 x UCL-Certified in Contract Law & Drafting | 4+ Years Managing 1M+ Legal Documents | Serial Founder & Legal AI Author

alex.den.21@genieai.co
Relevant legal definitions










































Clauses






























Relevant Industries

Asset Management

Investment Funds

Private Equity

Venture Capital

Hedge Funds

Real Estate Investment

Financial Services

Wealth Management

Alternative Investments

Mutual Funds

Relevant Teams

Legal

Compliance

Fund Operations

Investment Management

Client Services

Risk Management

Fund Administration

Investor Relations

Distribution

Due Diligence

Relevant Roles

Fund Manager

Compliance Officer

Legal Counsel

Investment Manager

Risk Manager

Client Relations Manager

Operations Manager

Chief Investment Officer

Fund Administrator

Investor Relations Manager

Due Diligence Officer

Portfolio Manager

Chief Compliance Officer

Distribution Manager

Industries








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