The Finder's Fee Agreement For Investment Capital is essential for businesses seeking to raise capital through professional intermediaries in Switzerland. This document is typically used when a company wants to engage a finder or intermediary to identify and introduce potential investors, establishing clear terms for compensation upon successful investment. The agreement must comply with Swiss financial regulations, including FINMA requirements and the Federal Act on Financial Services (FinSA). It covers crucial elements such as fee structures, payment conditions, scope of services, and regulatory compliance requirements. This type of agreement is particularly important in protecting both parties' interests by clearly defining what constitutes a successful introduction and the conditions under which fees become payable, while ensuring compliance with Swiss anti-money laundering and financial market regulations.
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1. Parties: Identification of the Principal (company seeking investment) and the Finder, including full legal names, addresses, and registration details
2. Background: Context of the agreement, including Principal's funding needs and Finder's expertise
3. Definitions: Key terms including 'Investment', 'Investor', 'Success Fee', 'Introduction', and 'Qualified Investment'
4. Scope of Services: Detailed description of Finder's services, including introduction of potential investors and permitted activities under Swiss law
5. Regulatory Compliance: Confirmation of compliance with Swiss financial regulations and required licenses/permits
6. Fee Structure: Details of success fee calculation, payment terms, and conditions for fee entitlement
7. Term and Termination: Duration of the agreement and grounds for termination
8. Confidentiality: Protection of confidential information and trade secrets
9. Representations and Warranties: Parties' confirmations regarding authority, capacity, and regulatory compliance
10. Limitation of Liability: Scope of Finder's liability and indemnification provisions
11. Governing Law and Jurisdiction: Swiss law as governing law and jurisdiction for disputes
1. Exclusivity: Used when the Principal grants exclusive rights to the Finder for specific investors or territories
2. International Transactions: Include when dealing with cross-border investments to address additional regulatory requirements
3. Post-Termination Obligations: Include when needed to clarify fee entitlements for introductions made during the term but closing after termination
4. Due Diligence Support: Include when Finder will assist in due diligence process
5. Anti-Money Laundering Procedures: Detailed AML procedures when Finder has extensive involvement in transaction processing
6. Force Majeure: Include for longer-term agreements to address unforeseen circumstances
1. Schedule A - Fee Calculation: Detailed methodology for calculating success fees, including examples and scenarios
2. Schedule B - Target Investor Profile: Criteria for qualified investors and investment parameters
3. Schedule C - Excluded Investors: List of investors excluded from the scope of the agreement
4. Schedule D - Required Disclosures: Mandatory disclosures required under Swiss financial regulations
5. Appendix 1 - Introduction Protocol: Formal process for making and documenting investor introductions
6. Appendix 2 - Compliance Checklist: Regulatory compliance requirements and documentation
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