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1. Parties: Identifies the contracting parties - typically the company/issuer and the placement agent
2. Background: Provides context for the agreement, including the company's intention to raise capital and the placement agent's qualifications
3. Definitions: Defines key terms used throughout the agreement
4. Appointment and Scope of Services: Details the appointment of the placement agent and specific services to be provided
5. Exclusivity: Specifies whether the appointment is exclusive or non-exclusive and any related conditions
6. Fees and Expenses: Outlines the fee structure, payment terms, and reimbursable expenses
7. Representations and Warranties: Contains representations and warranties from both parties
8. Obligations of the Company: Lists the company's responsibilities and commitments
9. Obligations of the Placement Agent: Details the placement agent's duties and responsibilities
10. Regulatory Compliance: Addresses compliance with relevant Hong Kong securities laws and regulations
11. Confidentiality: Sets out confidentiality obligations of both parties
12. Term and Termination: Specifies the duration of the agreement and termination provisions
13. Indemnification: Details mutual indemnification provisions
14. General Provisions: Contains standard boilerplate clauses including governing law, notices, etc.
1. Success Fee: Include when there is a performance-based compensation structure
2. Break Fee: Include when there are provisions for fees payable if the placement doesn't proceed
3. Sub-agents: Include when the placement agent may appoint sub-agents
4. Force Majeure: Include when specific force majeure provisions are needed beyond general provisions
5. Non-Competition: Include when restricting the placement agent from working with competitors
6. Marketing Materials: Include when specific provisions about marketing materials and their approval are needed
7. Data Protection: Include when significant personal data processing is involved
8. Anti-Corruption: Include when specific anti-corruption provisions are required beyond general compliance
1. Schedule 1: Scope of Services: Detailed description of services to be provided by the placement agent
2. Schedule 2: Fee Structure: Detailed breakdown of fees, including any success fees or milestone payments
3. Schedule 3: Target Investors: List of target investor categories or specific investors if pre-identified
4. Schedule 4: Due Diligence Requirements: Outline of required due diligence processes and documentation
5. Schedule 5: Marketing Materials Guidelines: Guidelines for preparation and approval of marketing materials
6. Appendix A: Form of Subscription Agreement: Template subscription agreement for investors
7. Appendix B: Compliance Checklist: Regulatory compliance requirements and checklist
8. Appendix C: Required Disclosures: Standard disclosures required under Hong Kong securities laws
Financial Services
Investment Banking
Securities and Capital Markets
Private Equity
Asset Management
Real Estate
Technology
Healthcare
Manufacturing
Energy
Infrastructure
Telecommunications
Legal
Finance
Compliance
Corporate Development
Investment Banking
Risk Management
Corporate Finance
Business Development
Company Secretarial
Treasury
Capital Markets
Chief Executive Officer
Chief Financial Officer
Investment Banker
Corporate Lawyer
Compliance Officer
Company Secretary
Director of Capital Markets
Financial Controller
Investment Director
Head of Corporate Finance
Legal Counsel
Risk Manager
Business Development Director
Portfolio Manager
Relationship Manager
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