The Finder's Fee Agreement For Investment Capital is a crucial document for companies seeking to raise capital through professional intermediaries in the Netherlands. This agreement is particularly relevant in today's competitive funding environment where businesses increasingly rely on professional networks to secure investment. It addresses key aspects such as commission structures, regulatory compliance (particularly with the Dutch Financial Supervision Act), and the scope of permitted intermediary activities. The document becomes necessary when a company wishes to formally engage a finder to introduce potential investors, ensuring clear terms for compensation and protecting both parties' interests. It includes specific provisions required under Dutch law for financial intermediary services, defines the qualification criteria for successful introductions, and establishes clear parameters for fee entitlement. This agreement is especially important given the regulated nature of financial intermediary services in the Netherlands and the need for compliance with both national and EU 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 the principal's funding needs and the finder's expertise
3. Definitions: Key terms including 'Qualified Investor', 'Investment', 'Success Fee', 'Introduction', and other relevant terminology
4. Scope of Services: Detailed description of the finder's services, including introduction methods and permitted activities
5. Regulatory Compliance: Acknowledgment of and compliance with Dutch financial regulations, including Wft requirements
6. Exclusivity and Territory: Whether the arrangement is exclusive and the geographic scope of the finder's activities
7. Fee Structure: Detailed explanation of success fees, calculation methods, and qualifying investments
8. Payment Terms: Timing and method of payment, including any conditions precedent
9. Term and Termination: Duration of the agreement and circumstances for termination
10. Confidentiality: Protection of confidential information and trade secrets
11. Representations and Warranties: Standard declarations by both parties regarding capacity, authority, and compliance
12. Limitation of Liability: Caps on liability and exclusions of certain types of damages
13. Governing Law and Jurisdiction: Specification of Dutch law and competent courts
1. Non-Circumvention: Used when there's a risk of direct dealings between the principal and introduced investors, bypassing the finder
2. Tail Period: Include when fees should continue after agreement termination for previously introduced investors
3. Alternative Fee Arrangements: Used when including provisions for retainers or alternative success fee structures
4. Sub-Agents: Include when the finder may need to work with other agents or sub-contractors
5. Intellectual Property: Required when sharing of branded materials or proprietary information is involved
6. Force Majeure: Include for longer-term arrangements where external events might affect performance
7. Data Protection: Detailed GDPR compliance section when significant personal data processing is involved
8. Anti-Money Laundering: Enhanced AML provisions when dealing with high-risk jurisdictions or complex structures
1. Fee Schedule: Detailed breakdown of fee structures, tiers, and calculation examples
2. Required Information Template: Template specifying the information needed from the finder about potential investors
3. Compliance Checklist: List of regulatory requirements and compliance steps for both parties
4. Approved Introduction Script: Standard language for making introductions to ensure regulatory compliance
5. Investor Profile Requirements: Criteria for qualified investors and required documentation
6. Reporting Template: Standard format for regular reporting of finder's activities and introductions
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