The Finder's Fee Agreement For Raising Capital is essential for companies seeking to formalize relationships with intermediaries who can facilitate introductions to potential investors in India. This document is particularly crucial in the Indian context where regulatory compliance, especially with SEBI guidelines and the Companies Act, is stringent for financial intermediaries. The agreement typically comes into play when companies are planning funding rounds, expansion, or require capital injection for various business purposes. It outlines the finder's role, compensation structure, and compliance requirements while protecting both parties' interests. The document must carefully navigate Indian regulatory requirements regarding financial intermediaries, including registration requirements, permitted activities, and fee structures. It's particularly important to ensure compliance with SEBI regulations regarding investment advice and intermediary services.
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1. Parties: Identifies the principal company seeking capital and the finder, including their complete legal names and addresses
2. Background: Explains the context: company's need for capital raising and finder's capability to introduce potential investors
3. Definitions: Defines key terms including 'Successful Introduction', 'Qualified Investor', 'Investment', and 'Finder's Fee'
4. Scope of Services: Details the finder's role, responsibilities, and limitations in introducing potential investors
5. Engagement Terms: Specifies the nature of relationship (non-exclusive/exclusive), territory, and duration of the agreement
6. Compensation Structure: Details the finder's fee calculation method, payment triggers, and payment terms
7. Regulatory Compliance: Addresses compliance with SEBI regulations and other applicable laws
8. Representations and Warranties: Standard declarations by both parties regarding authority, capacity, and compliance
9. Confidentiality: Obligations regarding protection of confidential information
10. Term and Termination: Duration of agreement and circumstances for termination
11. Indemnification: Mutual indemnification provisions for breach or misconduct
12. General Provisions: Standard clauses including notices, governing law, dispute resolution, and entire agreement
1. Foreign Investment Compliance: Required when deal involves potential foreign investors, addressing FEMA compliance
2. Tail Period: Defines period post-termination during which finder remains entitled to fees for previously introduced investors
3. Non-Circumvention: Prevents direct dealings with introduced investors bypassing the finder
4. Success Fee Alternatives: Alternative compensation structures based on different investment scenarios
5. Non-Solicitation: Prevents parties from hiring each other's employees or contractors
6. Expense Reimbursement: Terms for reimbursing finder's pre-approved expenses
7. Regulatory Registrations: Required when finder needs specific registrations or licenses
1. Schedule A - Fee Structure: Detailed breakdown of fee calculations, tiers, and payment mechanisms
2. Schedule B - Qualified Investor Criteria: Specific criteria defining eligible investors for valid introductions
3. Schedule C - Reporting Format: Template for reporting introductions and tracking potential investments
4. Schedule D - Excluded Investors: List of pre-existing contacts or excluded potential investors
5. Appendix 1 - Introduction Protocol: Detailed process for making and documenting investor introductions
6. Appendix 2 - Compliance Checklist: Regulatory compliance requirements and documentation checklist
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