The Fundraising Commission Agreement is a critical document for businesses seeking to raise capital in or from Hong Kong, establishing the commercial and legal framework for engaging professional fundraisers or placement agents. This agreement is particularly important in the Hong Kong context due to the city's role as a major financial hub and the strict regulatory requirements governing financial activities. The document typically includes detailed provisions on commission structures, regulatory compliance, performance targets, and risk allocation, while ensuring adherence to Hong Kong's Securities and Futures Ordinance and other relevant regulations. It is commonly used by investment firms, fund managers, and companies seeking to raise capital, providing protection for both the principal company and the fundraiser while establishing clear parameters for successful fundraising activities.
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1. Parties: Identification of the principal company and the fundraiser/agent
2. Background: Context of the arrangement and brief description of the parties' intentions
3. Definitions and Interpretation: Key terms used throughout the agreement, including 'Successful Fundraising', 'Commission', 'Target Investors'
4. Appointment and Scope: Terms of appointment, exclusivity (if any), and detailed scope of fundraising services
5. Fundraiser's Obligations: Key responsibilities, compliance requirements, reporting obligations, and performance standards
6. Principal's Obligations: Support, information provision, and cooperation requirements
7. Commission Structure: Detailed commission calculation methodology, payment terms, and conditions for commission eligibility
8. Compliance and Regulations: Obligations regarding regulatory compliance, particularly with Hong Kong securities laws and AML requirements
9. Representations and Warranties: Standard and specific warranties from both parties, including fundraiser's qualifications and principal's authority
10. Confidentiality: Protection of confidential information and trade secrets
11. Term and Termination: Duration of agreement, renewal terms, and termination rights
12. Post-Termination: Obligations and rights after termination, including treatment of pipeline deals
13. General Provisions: Standard boilerplate clauses including governing law, notices, assignment
1. Non-Compete and Non-Solicitation: Restrictions on fundraiser's activities during and after the agreement, optional based on negotiating power and market practice
2. Intellectual Property: IP provisions if fundraiser will be using principal's brands or creating materials
3. Performance Targets: Specific fundraising targets and consequences of missing them, if applicable
4. Insurance: Insurance requirements if principal requires specific coverage
5. Data Protection: Detailed data handling requirements if significant personal data will be processed
6. Force Majeure: Provisions for unforeseen circumstances, particularly relevant post-COVID
7. Anti-Corruption: Specific anti-corruption provisions if dealing with certain jurisdictions or industries
1. Commission Calculation Examples: Detailed examples showing how commission will be calculated in various scenarios
2. Approved Marketing Materials: List or samples of approved fundraising materials and presentations
3. Compliance Procedures: Detailed procedures for regulatory compliance and due diligence
4. Reporting Templates: Standard forms for regular reporting of fundraising activities
5. Target Investor Profile: Detailed description of target investors and any excluded categories
6. Key Performance Indicators: Detailed metrics for measuring fundraiser's performance
7. Required Due Diligence Documentation: List of required documents for investor verification and AML compliance
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