The Private Equity Finder's Fee Agreement is essential in Canadian private equity transactions where intermediaries facilitate introductions between investors and investment opportunities. This document is typically used when engaging third-party finders to source potential investment opportunities or investors, establishing clear terms for compensation and services. It must comply with Canadian securities regulations, including National Instrument 31-103 and provincial Securities Acts, particularly regarding registration requirements and compensation structures. The agreement includes crucial elements such as fee calculations, payment timing, compliance requirements, and protective clauses for all parties. It's particularly important in ensuring transparent and compliant finder relationships while managing potential risks and regulatory obligations in the Canadian private equity market.
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1. Parties: Identification of the company seeking investment and the finder
2. Background: Context of the agreement and brief description of the parties' intentions
3. Definitions: Key terms used throughout the agreement
4. Scope of Services: Detailed description of the finder's duties and responsibilities
5. Compensation: Structure and terms of the finder's fee, including calculation method and payment timing
6. Term and Termination: Duration of the agreement and circumstances for termination
7. Confidentiality: Obligations regarding confidential information and trade secrets
8. Representations and Warranties: Statements of fact and promises by both parties
9. Regulatory Compliance: Acknowledgment and compliance with applicable securities laws and regulations
10. Independent Contractor Status: Clarification that the finder is an independent contractor, not an employee
11. Non-Circumvention: Protection against direct dealings that bypass the finder
12. Governing Law: Specification of applicable Canadian law and jurisdiction
13. General Provisions: Standard contract clauses including notices, amendments, and severability
1. Exclusivity: Used when the finder has exclusive rights to introduce potential investors
2. Non-Solicitation: Prevents parties from hiring each other's employees or contractors
3. Success Fee Structure: Detailed breakdown of additional performance-based compensation
4. International Transactions: Additional provisions for cross-border introductions
5. Dispute Resolution: Specific procedures for handling disputes, such as arbitration
6. Force Majeure: Provisions for unforeseen circumstances preventing performance
7. Tail Period: Period after termination during which finder remains entitled to fees
1. Schedule A - Fee Structure: Detailed breakdown of fee calculations and payment terms
2. Schedule B - Target Investor Profile: Specifications of the type of investors being sought
3. Schedule C - Excluded Parties: List of pre-existing contacts or excluded potential investors
4. Schedule D - Compliance Requirements: Specific regulatory requirements and compliance procedures
5. Schedule E - Reporting Requirements: Format and frequency of activity reports from the finder
6. Appendix 1 - Form of Introduction Letter: Template for formal investor introductions
7. Appendix 2 - Non-Disclosure Agreement: Standard form NDA for use with potential investors
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