Broker And Adviser Agreement For Aim Admission
Publisher one
Genie AIJurisdiction
England and WalesCost
Free to useRelevant sectors
Type of legal document
💶 Nominated adviser agreementBusiness activity
Appoint nominated adviser and brokerA nominated adviser agreement is a contract between a company and an adviser that sets out the terms of the adviser's appointment. The agreement will cover the adviser's duties and responsibilities, as well as the company's expectations of the adviser. The agreement will also detail the compensation that the adviser will receive for their services.
This agreement covers various aspects concerning the collaboration between the broker and adviser, including their roles, responsibilities, and obligations throughout the AIM admission process. It sets out the terms under which the broker will provide services such as underwriting, marketing, and financial consulting, while the adviser will offer strategic guidance, due diligence, regulatory compliance support, and other related services.
The template incorporates essential clauses such as the duration of the agreement, termination provisions, compensation and fee structure, confidentiality and non-disclosure requirements, conflict of interest management, intellectual property rights, and jurisdictional matters. It aims to establish a mutual understanding and a legally binding agreement that protects the rights and interests of both parties involved.
Adherence to UK law is crucial in this template, ensuring compliance with relevant regulatory bodies, such as the London Stock Exchange, and other applicable laws and regulations governing AIM admission. The document may also contain provisions specific to AIM rules and listing requirements, as well as provisions addressing potential risks, liabilities, and potential disputes that may arise during the admission process.
Companies seeking to list on AIM and financial intermediaries involved in the process can utilize this template to establish a clear and professional working relationship, defining the terms and responsibilities required for a successful AIM admission under UK law. However, it is important to note that this template provides a general framework and should be customized to accommodate the specific needs and circumstances of the parties involved before it can be implemented as a legally binding agreement.
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