The Private Placement Agent Agreement is essential when companies or funds seek to raise capital through private placement in the UK market. This document, governed by English and Welsh law, establishes the formal relationship between the issuer and the placement agent, detailing crucial elements such as marketing restrictions, compensation structures, and regulatory compliance requirements. It is particularly important given the strict regulatory framework in the UK, including FCA regulations and FSMA requirements. The agreement helps ensure that capital raising activities are conducted in compliance with applicable laws while protecting both parties' interests.
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1. Parties: Identification of the placement agent and the company/fund
2. Background: Context of the agreement and basic understanding between parties
3. Definitions: Key terms used throughout the agreement
4. Appointment and Scope: Terms of appointment and services to be provided
5. Fees and Expenses: Compensation structure and reimbursable expenses
6. Representations and Warranties: Standard declarations from both parties
7. Regulatory Compliance: Obligations regarding regulatory requirements
8. Term and Termination: Duration and termination provisions
9. Confidentiality: Protection of confidential information
1. Marketing Restrictions: Specific limitations on marketing activities when dealing with specific jurisdictions or investor types
2. Indemnification: Additional protection provisions when requested by either party
3. Non-Compete: Restrictions on competing activities when exclusivity is required
4. Force Majeure: Provisions for unforeseen circumstances in long-term arrangements
1. Fee Schedule: Detailed breakdown of fees and payment terms
2. Services Description: Detailed scope of services to be provided
3. Target Investors: List of potential investors or investor types
4. Marketing Materials: Approved marketing documents and guidelines
5. Compliance Procedures: Detailed regulatory compliance requirements
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