The Finder's Fee Agreement For Raising Capital is essential for businesses in Hong Kong seeking to formalize arrangements with intermediaries who can introduce potential investors. This document is particularly important in Hong Kong's dynamic financial environment, where capital raising activities are closely regulated by the Securities and Futures Commission. The agreement carefully balances commercial interests with regulatory compliance, clearly defining the finder's role to avoid unauthorized regulated activities. It specifies introduction fees, typically calculated as a percentage of invested capital, and includes crucial provisions for confidentiality, regulatory compliance, and payment conditions. The document is commonly used by startups, growing companies, and established businesses looking to expand their investor network while maintaining legal compliance.
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1. Parties: Identifies and defines the parties to the agreement - typically the Company seeking capital and the Finder
2. Background: Explains the context of the agreement, including the Company's intention to raise capital and the Finder's ability to introduce potential investors
3. Definitions: Defines key terms used throughout the agreement, including 'Successful Introduction', 'Qualified Investor', and 'Investment'
4. Appointment and Scope of Services: Defines the Finder's appointment, specifying that the role is limited to introductions only and explicitly stating what activities are not included
5. Term and Termination: Specifies the duration of the agreement and circumstances under which it can be terminated
6. Finder's Fee Structure: Details the fee calculation method, timing of payments, and conditions for fee entitlement
7. Payment Terms: Specifies payment mechanics, timing, and any conditions precedent to payment
8. Representations and Warranties: Key statements from both parties about their capacity, authority, and compliance with laws
9. Regulatory Compliance: Acknowledges relevant regulatory requirements and confirms compliance
10. Confidentiality: Obligations regarding confidential information exchanged during the engagement
11. General Provisions: Standard clauses including governing law, notices, entire agreement, and amendment procedures
1. Exclusivity: Used when the Company wants to grant exclusive rights to the Finder for specific investors or territories
2. Tail Period: Defines a period after termination during which the Finder remains entitled to fees for successful investments
3. Indemnification: Additional protection for either party against specific risks or claims
4. Non-Circumvention: Prevents direct dealings between the Company and introduced investors to avoid fee payment
5. Force Majeure: Added when parties want specific provisions for handling unforeseen circumstances
6. Dispute Resolution: Optional detailed procedures for handling disputes, such as mandatory mediation before litigation
1. Schedule 1 - Fee Calculation Examples: Provides detailed examples of how fees will be calculated in various scenarios
2. Schedule 2 - Excluded Investors: Lists any investors or categories of investors explicitly excluded from the agreement
3. Schedule 3 - Required Information for Introductions: Specifies the minimum information the Finder must provide about potential investors
4. Schedule 4 - Compliance Requirements: Details specific regulatory compliance requirements and procedures
5. Appendix A - Introduction Notice Template: Standard form for documenting formal introductions of potential investors
6. Appendix B - Success Fee Notice Template: Standard form for claiming success fees when an investment is completed
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