The Finder's Fee Agreement For Raising Capital is essential for businesses in the Philippines seeking to formalize arrangements with individuals or entities who can facilitate introductions to potential investors or funding sources. This document is particularly crucial given the strict regulatory environment in the Philippines regarding securities and capital raising activities. It helps companies navigate the complex requirements of the Securities Regulation Code while securing valuable funding connections. The agreement typically includes detailed provisions on fee structures, success criteria, compliance requirements, and territorial scope. It's designed to protect both the company and the finder while ensuring compliance with Philippine securities laws and regulations. The document becomes especially important when companies need to raise capital but want to avoid the complexities of engaging licensed broker-dealers for initial introductions.
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1. Parties: Identifies the parties to the agreement - typically the company seeking capital (Client) and the finder (Finder)
2. Background: Sets out the context of the agreement, including the Client's desire to raise capital and the Finder's ability to introduce potential investors
3. Definitions: Defines key terms used throughout the agreement, including 'Successful Transaction', 'Qualified Investor', 'Fee', and 'Introduction'
4. Appointment and Scope of Services: Defines the Finder's appointment and explicitly outlines permitted and prohibited activities
5. Term and Termination: Specifies the duration of the agreement and circumstances under which it can be terminated
6. Finder's Fee and Payment Terms: Details the fee structure, calculation method, payment timing, and any conditions precedent to payment
7. Exclusivity and Tail Period: Specifies whether the arrangement is exclusive and the period during which fees remain payable after termination
8. Representations and Warranties: Contains statements of fact and promises by both parties, including regulatory compliance assurances
9. Compliance with Laws: Specific provisions ensuring compliance with Philippine securities laws and regulations
10. Confidentiality: Provisions protecting confidential information exchanged during the engagement
11. Limitation of Liability: Defines the extent and limitations of each party's liability
12. General Provisions: Standard boilerplate clauses including notices, amendments, governing law, etc.
1. Non-Circumvention: Optional section used when there's significant risk of the client attempting to circumvent the finder to avoid fees
2. Force Majeure: Optional clause for circumstances preventing performance, particularly relevant in uncertain market conditions
3. Non-Solicitation: Optional section preventing parties from hiring each other's employees, used in longer-term arrangements
4. Dispute Resolution: Optional detailed dispute resolution procedures, recommended for high-value arrangements
5. Insurance Requirements: Optional section specifying required insurance coverage, used when significant risks are involved
6. Right of First Refusal: Optional clause giving the finder priority for future capital raising activities
1. Schedule A - Fee Structure: Detailed breakdown of fee calculations, including any sliding scales or milestone payments
2. Schedule B - Qualified Investors: List of pre-existing relationships or excluded potential investors
3. Schedule C - Approved Marketing Materials: Templates or guidelines for materials the finder may use in approaching potential investors
4. Appendix 1 - Reporting Requirements: Format and frequency of progress reports required from the finder
5. Appendix 2 - Compliance Checklist: Checklist of regulatory requirements and compliance procedures
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