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Fundraising Commission Agreement

Fundraising Commission Agreement Template for Hong Kong

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Key Requirements PROMPT example:

Fundraising Commission Agreement

"I need a Fundraising Commission Agreement for our Hong Kong-based fintech startup to engage an external fundraiser who will help us raise Series B funding in Q2 2025, with a tiered commission structure and strong confidentiality provisions."

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Document background
The Fundraising Commission Agreement is a critical document for businesses seeking to raise capital in or from Hong Kong, establishing the commercial and legal framework for engaging professional fundraisers or placement agents. This agreement is particularly important in the Hong Kong context due to the city's role as a major financial hub and the strict regulatory requirements governing financial activities. The document typically includes detailed provisions on commission structures, regulatory compliance, performance targets, and risk allocation, while ensuring adherence to Hong Kong's Securities and Futures Ordinance and other relevant regulations. It is commonly used by investment firms, fund managers, and companies seeking to raise capital, providing protection for both the principal company and the fundraiser while establishing clear parameters for successful fundraising activities.
Suggested Sections

1. Parties: Identification of the principal company and the fundraiser/agent

2. Background: Context of the arrangement and brief description of the parties' intentions

3. Definitions and Interpretation: Key terms used throughout the agreement, including 'Successful Fundraising', 'Commission', 'Target Investors'

4. Appointment and Scope: Terms of appointment, exclusivity (if any), and detailed scope of fundraising services

5. Fundraiser's Obligations: Key responsibilities, compliance requirements, reporting obligations, and performance standards

6. Principal's Obligations: Support, information provision, and cooperation requirements

7. Commission Structure: Detailed commission calculation methodology, payment terms, and conditions for commission eligibility

8. Compliance and Regulations: Obligations regarding regulatory compliance, particularly with Hong Kong securities laws and AML requirements

9. Representations and Warranties: Standard and specific warranties from both parties, including fundraiser's qualifications and principal's authority

10. Confidentiality: Protection of confidential information and trade secrets

11. Term and Termination: Duration of agreement, renewal terms, and termination rights

12. Post-Termination: Obligations and rights after termination, including treatment of pipeline deals

13. General Provisions: Standard boilerplate clauses including governing law, notices, assignment

Optional Sections

1. Non-Compete and Non-Solicitation: Restrictions on fundraiser's activities during and after the agreement, optional based on negotiating power and market practice

2. Intellectual Property: IP provisions if fundraiser will be using principal's brands or creating materials

3. Performance Targets: Specific fundraising targets and consequences of missing them, if applicable

4. Insurance: Insurance requirements if principal requires specific coverage

5. Data Protection: Detailed data handling requirements if significant personal data will be processed

6. Force Majeure: Provisions for unforeseen circumstances, particularly relevant post-COVID

7. Anti-Corruption: Specific anti-corruption provisions if dealing with certain jurisdictions or industries

Suggested Schedules

1. Commission Calculation Examples: Detailed examples showing how commission will be calculated in various scenarios

2. Approved Marketing Materials: List or samples of approved fundraising materials and presentations

3. Compliance Procedures: Detailed procedures for regulatory compliance and due diligence

4. Reporting Templates: Standard forms for regular reporting of fundraising activities

5. Target Investor Profile: Detailed description of target investors and any excluded categories

6. Key Performance Indicators: Detailed metrics for measuring fundraiser's performance

7. Required Due Diligence Documentation: List of required documents for investor verification and AML compliance

Authors

Alex Denne

Head of Growth (Open Source Law) @ Genie AI | 3 x UCL-Certified in Contract Law & Drafting | 4+ Years Managing 1M+ Legal Documents | Serial Founder & Legal AI Author

Linkedin in social icon imageX social icon image
alex.den.21@genieai.co
Relevant legal definitions
Agreement
Applicable Laws
Approved Investor
Business Day
Closing
Commission
Confidential Information
Due Diligence Materials
Effective Date
Eligible Investment
Force Majeure Event
Fundraising Materials
Fundraising Period
Fundraising Services
Intellectual Property Rights
Investment Amount
Investment Documentation
Investor
Key Person
Minimum Investment Amount
Pipeline Investor
Placement Period
Principal
Qualified Investor
Regulatory Approvals
Relevant Territory
SFC
Successful Fundraising
Target Investors
Term
Territory
Transaction
Transaction Documents
Unsuccessful Investor
Clauses
Appointment
Scope of Services
Exclusivity
Commission
Payment Terms
Performance Obligations
Regulatory Compliance
Representations and Warranties
Confidentiality
Non-Solicitation
Non-Competition
Due Diligence
Reporting Requirements
Record Keeping
Anti-Money Laundering
Data Protection
Intellectual Property
Term
Termination
Post-Termination Obligations
Force Majeure
Indemnification
Limitation of Liability
Insurance
Assignment
Notices
Governing Law
Dispute Resolution
Entire Agreement
Severability
Amendment
Third Party Rights
Costs
Counterparts
Relevant Industries

Financial Services

Private Equity

Venture Capital

Real Estate

Investment Management

Asset Management

Fund Management

Technology

Healthcare

Infrastructure

Renewable Energy

Relevant Teams

Legal

Finance

Compliance

Corporate Development

Investment

Business Development

Fund Management

Risk Management

Operations

Treasury

Relevant Roles

Chief Executive Officer

Chief Financial Officer

Chief Legal Officer

General Counsel

Head of Fundraising

Investment Director

Compliance Officer

Legal Counsel

Finance Director

Business Development Director

Fundraising Manager

Investment Manager

Placement Agent

Relationship Manager

Fund Manager

Corporate Development Manager

Industries
Securities and Futures Ordinance (Cap. 571): Regulates securities and futures markets, including licensing requirements for dealing in securities and investment arrangements. Relevant for ensuring compliance with securities laws if the fundraising involves financial instruments.
Anti-Money Laundering and Counter-Terrorist Financing Ordinance (Cap. 615): Sets out requirements for customer due diligence and record-keeping in financial transactions. Important for ensuring proper verification and documentation of fund sources.
Employment Ordinance (Cap. 57): While commission agreements often involve independent contractors, this law may be relevant if the relationship could be characterized as employment.
Contract Law of Hong Kong: Based on common law principles, governs formation and enforcement of contracts, including requirements for valid consideration, capacity, and terms.
Personal Data (Privacy) Ordinance (Cap. 486): Regulates collection and handling of personal data, relevant for maintaining records of investors and commission recipients.
Inland Revenue Ordinance (Cap. 112): Governs taxation of commission income and reporting requirements for both parties.
Charities Act (if applicable for charitable fundraising): Regulates fundraising activities for charitable purposes, including requirements for proper permits and disclosures.
Teams

Employer, Employee, Start Date, Job Title, Department, Location, Probationary Period, Notice Period, Salary, Overtime, Vacation Pay, Statutory Holidays, Benefits, Bonus, Expenses, Working Hours, Rest Breaks,  Leaves of Absence, Confidentiality, Intellectual Property, Non-Solicitation, Non-Competition, Code of Conduct, Termination,  Severance Pay, Governing Law, Entire Agreemen

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