The Fundraising Commission Agreement is essential for businesses and financial institutions in Switzerland seeking to engage external parties for fundraising activities. This document is particularly relevant when engaging fundraising agents, placement agents, or intermediaries who will be compensated through commission-based structures for successfully raising capital or securing investments. The agreement must comply with Swiss regulatory requirements, including the Federal Act on Financial Services (FinSA), Federal Act on Financial Institutions (FinIA), and anti-money laundering regulations. It typically includes detailed provisions on commission calculations, payment terms, regulatory compliance obligations, reporting requirements, and risk management procedures. This agreement is crucial for maintaining transparency and regulatory compliance while protecting both parties' interests in fundraising arrangements.
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1. Parties: Identification of the principal and the fundraising agent/commissioner, including full legal names, addresses, and registration details
2. Background: Context of the agreement, nature of the fundraising activities, and general purpose of the arrangement
3. Definitions: Key terms used throughout the agreement, including 'Successful Fundraising', 'Commission', 'Target Investors', and 'Investment Period'
4. Appointment and Scope: Formal appointment of the fundraiser and detailed scope of authorized fundraising activities
5. Term and Termination: Duration of the agreement, renewal provisions, and circumstances for termination
6. Commission Structure: Detailed explanation of commission calculations, payment terms, and conditions for commission eligibility
7. Obligations of the Fundraiser: Specific duties, responsibilities, and performance standards expected from the fundraiser
8. Obligations of the Principal: Principal's responsibilities, including provision of information and support materials
9. Compliance Requirements: Regulatory compliance obligations, including financial services regulations and anti-money laundering requirements
10. Confidentiality: Protection of confidential information and trade secrets
11. Data Protection: Obligations regarding handling of personal data in compliance with Swiss data protection laws
12. Representations and Warranties: Key assurances from both parties regarding capacity, authority, and compliance
13. Governing Law and Jurisdiction: Specification of Swiss law as governing law and jurisdiction for disputes
1. Non-Compete: Restrictions on fundraiser's ability to work with competitors, include when exclusivity is required
2. Force Majeure: Provisions for unforeseen circumstances, particularly relevant in uncertain market conditions
3. Insurance: Requirements for professional indemnity insurance, include when dealing with high-value fundraising
4. Intellectual Property: Protection of IP rights, include when branded materials or proprietary methods are involved
5. Sub-Contractors: Rules for engaging sub-contractors or sub-agents, include when delegation may be needed
6. Performance Targets: Specific fundraising targets and consequences of missing them, include for performance-based arrangements
7. Marketing Approvals: Process for approving marketing materials, include when extensive marketing is planned
1. Commission Rates and Calculations: Detailed breakdown of commission rates, tiers, and calculation methodologies
2. Approved Marketing Materials: List of pre-approved marketing materials and templates
3. Compliance Procedures: Detailed procedures for regulatory compliance, including KYC and AML checks
4. Target Investor Profile: Description of target investor segments and any restrictions
5. Reporting Templates: Standard formats for activity reports and commission calculations
6. Due Diligence Requirements: Checklist of required due diligence procedures for different investor types
7. Investment Products/Services: Details of the investment products or services being offered
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