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Due Diligence FAQs

What details should I look for in an investment management or an investment advisory agreement?

The manager, and any sub-managers or investment advisors, should be subject to a formal investment management or advisory agreement. Further, if a third party has been appointed as the entity responsible for significant functions such as portfolio management, the agreement should specify which entities are responsible for which activities.

In addition, the delegating party should retain supervision duties and monitor the third party. This is all written out in the agreements; their role and their duties. This gives you an insight on how responsibilities are spread out. Understanding this as well as potential fee flows and ascertaining the parties (especially if the parties are related) and the transparency of the relationships is key to establishing a relationship of trust.

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