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Finder's Fee Agreement For Investment Capital Template for Hong Kong

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Key Requirements PROMPT example:

Finder's Fee Agreement For Investment Capital

"I need a Finder's Fee Agreement for Investment Capital under Hong Kong law for my tech startup, with a 5% success fee structure for investments above HKD 10 million, and specific provisions for cryptocurrency and blockchain investors."

Document background
The Finder's Fee Agreement For Investment Capital is essential for businesses and entrepreneurs in Hong Kong seeking to raise capital through intermediaries. This document is commonly used when companies engage professional networkers, financial advisors, or other intermediaries to facilitate introductions to potential investors. It operates within Hong Kong's regulatory framework, particularly considering the Securities and Futures Ordinance and related financial regulations. The agreement typically specifies the finder's role, compensation structure, and compliance requirements, while protecting both parties' interests through clear success criteria and payment terms. It's particularly relevant in Hong Kong's dynamic financial market where cross-border capital raising activities are common and regulatory compliance is crucial.
Suggested Sections

1. Parties: Identification of the finder and the client seeking investment capital

2. Background: Context of the agreement and brief description of the parties' intentions

3. Definitions: Key terms used throughout the agreement, including 'Investment Capital', 'Qualified Investor', 'Success Fee', etc.

4. Scope of Services: Detailed description of the finder's services and obligations

5. Success Criteria: Definition of what constitutes a successful introduction and triggers payment

6. Fees and Payment Terms: Structure of finder's fees, calculation methods, and payment conditions

7. Regulatory Compliance: Acknowledgments and obligations regarding Hong Kong securities laws and regulations

8. Confidentiality: Obligations regarding confidential information and investor details

9. Term and Termination: Duration of the agreement and termination provisions

10. Representations and Warranties: Key statements and guarantees by both parties

11. Limitation of Liability: Limits on the finder's liability and scope of responsibility

12. General Provisions: Standard clauses including governing law, notices, and entire agreement

Optional Sections

1. Exclusivity: Used when the finder is granted exclusive rights to introduce certain investors or within certain territories

2. Tail Period: Include when fees are to be paid for introductions that result in investment after agreement termination

3. Non-Circumvention: Added when there's risk of direct engagement with introduced investors bypassing the finder

4. Marketing Restrictions: Include when specific limitations on how the finder can market the opportunity are needed

5. Dispute Resolution: Optional detailed arbitration or mediation procedures if preferred over court proceedings

6. Force Majeure: Include when parties want specific provisions for unforeseeable circumstances

7. Non-Solicitation: Used when parties want to prevent solicitation of each other's employees or clients

Suggested Schedules

1. Schedule 1 - Fee Structure: Detailed breakdown of fee calculations, tiers, and payment scenarios

2. Schedule 2 - Target Investor Profile: Specific criteria for qualified investors the finder should target

3. Schedule 3 - Required Information: List of information/documents needed from potential investors

4. Schedule 4 - Excluded Investors: List of investors or categories of investors excluded from the agreement

5. Schedule 5 - Compliance Requirements: Detailed regulatory compliance checklist and procedures

6. Appendix A - Introduction Protocol: Step-by-step process for making and documenting introductions

7. Appendix B - Required Disclaimers: Standard disclaimers to be used in communications with potential investors

Authors

Alex Denne

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

Relevant legal definitions































Clauses

































Relevant Industries

Financial Services

Investment Banking

Private Equity

Venture Capital

Real Estate

Technology

Manufacturing

Healthcare

Retail

Professional Services

Construction

Energy

Telecommunications

Relevant Teams

Legal

Finance

Corporate Development

Business Development

Investment Relations

Executive Management

Treasury

Compliance

Corporate Strategy

Relevant Roles

Chief Financial Officer

Investment Director

Business Development Manager

Financial Advisor

Corporate Lawyer

Investment Banker

Managing Director

CEO

Finance Manager

Investment Relations Manager

Business Owner

Entrepreneur

Corporate Development Director

Private Equity Manager

Venture Capital Associate

Industries







Teams

Employer, Employee, Start Date, Job Title, Department, Location, Probationary Period, Notice Period, Salary, Overtime, Vacation Pay, Statutory Holidays, Benefits, Bonus, Expenses, Working Hours, Rest Breaks,  Leaves of Absence, Confidentiality, Intellectual Property, Non-Solicitation, Non-Competition, Code of Conduct, Termination,  Severance Pay, Governing Law, Entire Agreemen

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