The Placement Agent Engagement Letter is a crucial document used when appointing a financial intermediary to assist in raising capital through private placements. Under English and Welsh law, this document establishes the terms under which the placement agent will identify and approach potential investors, defines the scope of authorized activities, and ensures compliance with UK financial services regulations. The letter typically includes detailed fee structures, exclusivity provisions, and specific compliance requirements under the FCA framework. It's particularly important in ensuring clarity of roles and responsibilities while maintaining regulatory compliance in capital raising activities.
Placement Agent Engagement Letter for the United Kingdom
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Key Requirements PROMPT example:
Placement Agent Engagement Letter
"Need a Placement Agent Engagement Letter for our UK-based fintech startup to engage Goldman Sachs as placement agent for a Series C fundraising round of £50 million, with an exclusive mandate starting March 2025."
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1. Letter Header: Date, addresses, reference details and salutation
2. Engagement Confirmation: Clear statement confirming the appointment of the placement agent
3. Scope of Services: Detailed description of placement agent services to be provided, including fundraising targets and investor approach
4. Fees and Expenses: Compensation structure, including management fees, success fees, and expense reimbursement policies
5. Term and Termination: Duration of engagement and circumstances under which the agreement can be terminated
6. Exclusivity: Terms of exclusive/non-exclusive arrangement and any carve-outs
7. Regulatory Compliance: Confirmation of regulatory status and compliance obligations
8. Confidentiality: Terms regarding confidential information handling and non-disclosure obligations
9. Governing Law: Specification of English and Welsh law as governing law
1. International Marketing: Additional terms for cross-border marketing activities and regulatory compliance in other jurisdictions
2. Sub-placement Agents: Terms governing the appointment and management of sub-agents, if permitted
3. Key Person Provisions: Specific commitments regarding key personnel and project team members
4. Indemnification: Terms regarding mutual indemnification and liability limitations
5. Non-Circumvention: Provisions preventing direct approaches to introduced investors
1. Fee Schedule: Detailed breakdown of fee structure, calculations, and payment terms
2. Services Description: Comprehensive list of services and deliverables to be provided
3. Target Investors: List of potential investors to be approached and any excluded investors
4. Compliance Requirements: Specific regulatory compliance obligations and requirements
5. Required Disclosures: Standard regulatory disclosures and risk warnings
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