Placement Agent Agreement Private Equity Fund for the United Kingdom

Placement Agent Agreement Private Equity Fund Template for England and Wales

A Placement Agent Agreement for Private Equity Funds under English and Welsh law is a legally binding contract that establishes the terms under which a placement agent will market and distribute fund interests to potential investors. The agreement is governed by UK financial services regulations, particularly the Financial Services and Markets Act 2000, and includes provisions for regulatory compliance, marketing restrictions, compensation structures, and service obligations. It must comply with FCA requirements and incorporate relevant EU-derived legislation that has been retained in UK law.

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What is a Placement Agent Agreement Private Equity Fund?

The Placement Agent Agreement Private Equity Fund is essential when fund managers seek to engage professional intermediaries to assist in fundraising activities. This document, governed by English and Welsh law, establishes the framework for marketing fund interests to qualified investors while ensuring compliance with UK financial regulations. It defines the scope of services, compensation structures, and regulatory obligations, particularly under the Financial Services and Markets Act 2000 and FCA requirements. The agreement is crucial for protecting both parties' interests while facilitating effective fund marketing and capital raising activities in accordance with applicable laws and regulations.

What sections should be included in a Placement Agent Agreement Private Equity Fund?

1. Parties: Identifies the placement agent and the fund/fund manager

2. Background: Sets out the context of the agreement, including fund details and purpose of engagement

3. Definitions: Defines key terms used throughout the agreement, including regulatory terms under FSMA, FCA rules, and other applicable legislation

4. Appointment and Scope of Services: Details of the placement agent's appointment and specific services to be provided, including regulatory permissions and restrictions

5. Term and Termination: Duration of the agreement and circumstances for termination, including regulatory triggers

6. Fees and Expenses: Compensation structure, payment terms, and expense reimbursement provisions

7. Regulatory Compliance: Obligations regarding FCA rules, FSMA, AIFMD, MiFID II and other regulatory requirements

8. Representations and Warranties: Standard representations from both parties, including regulatory status and compliance

9. Confidentiality: Provisions regarding confidential information handling and data protection requirements

10. Indemnification: Mutual indemnification provisions covering regulatory breaches and other liabilities

What sections are optional to include in a Placement Agent Agreement Private Equity Fund?

1. Marketing Restrictions: Specific limitations on marketing activities and financial promotion rules

2. Cross-Border Provisions: Requirements for international fundraising and overseas marketing activities

3. Sub-Placement Agents: Terms for engaging sub-agents and ensuring their regulatory compliance

4. Data Protection: Specific GDPR and Data Protection Act 2018 compliance measures

What schedules should be included in a Placement Agent Agreement Private Equity Fund?

1. Schedule of Services: Detailed description of placement agent services and regulatory parameters

2. Fee Schedule: Detailed breakdown of fees and payment structures

3. Marketing Materials Guidelines: Requirements for fund marketing materials and financial promotion rules

4. Compliance Procedures: Detailed compliance requirements and procedures under applicable regulations

5. Target Investor Profile: Description of target investors, jurisdictions, and investor classification requirements

6. Due Diligence Requirements: Specific due diligence procedures and checklists including AML and KYC requirements

Authors

Alex Denne

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

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What is a Placement Agent Agreement Private Equity Fund?

What sections should be included in a Placement Agent Agreement Private Equity Fund?

What sections are optional to include in a Placement Agent Agreement Private Equity Fund?

What schedules should be included in a Placement Agent Agreement Private Equity Fund?

Authors

Alex Denne

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