Financial Investment Agreement Template for India

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Key Requirements PROMPT example:

Financial Investment Agreement

"I need a Financial Investment Agreement for a Series A investment of INR 50 crores into our healthcare technology startup by a foreign venture capital fund, with specific provisions for FEMA compliance and healthcare sector regulations."

Document background

The Financial Investment Agreement is a crucial document used in Indian corporate transactions when an investor (domestic or foreign) seeks to make a financial investment in a company. It serves as the primary contract governing the investment relationship, detailing aspects such as investment amount, valuation, securities being issued, and investor rights. The agreement must comply with Indian regulatory requirements, including those under the Companies Act 2013, SEBI regulations, and FEMA (for foreign investments). It is particularly important in private equity, venture capital, and strategic investment transactions, providing a comprehensive framework for protecting investor interests while ensuring compliance with Indian corporate and securities laws. The document typically includes detailed provisions on governance rights, transfer restrictions, exit mechanisms, and representations and warranties, tailored to meet specific transaction requirements while adhering to Indian legal standards.

Suggested Sections

1. Parties: Identifies and provides details of all parties to the agreement, including their legal status and registered addresses

2. Background: Sets out the context and purpose of the investment agreement, including brief description of the business and investment opportunity

3. Definitions: Defines key terms used throughout the agreement to ensure clarity and consistent interpretation

4. Investment Terms: Details the investment amount, valuation, and type of securities being issued

5. Conditions Precedent: Specifies conditions that must be satisfied before the investment is made

6. Closing Mechanics: Describes the process and requirements for completing the investment transaction

7. Representations and Warranties: Statements of fact and assurances given by parties about their status, authority, and business

8. Investor Rights: Outlines specific rights granted to investors, including information rights and board representation

9. Transfer Restrictions: Details restrictions on transfer of securities and right of first refusal provisions

10. Tag-Along and Drag-Along Rights: Mechanisms for investor exit and forced sale provisions

11. Covenants: Ongoing obligations of the parties, including business operation requirements and restrictions

12. Events of Default: Defines circumstances constituting default and consequences thereof

13. Term and Termination: Duration of the agreement and circumstances under which it can be terminated

14. Dispute Resolution: Procedures for resolving disputes, including jurisdiction and governing law

15. Confidentiality: Obligations regarding protection of confidential information

16. Notices: Procedures for giving formal notices under the agreement

17. General Provisions: Standard boilerplate clauses including amendments, assignments, and severability

Optional Sections

1. Anti-Dilution Protection: Protection mechanisms for investors against future dilution of their shareholding

2. Liquidation Preference: Preferential rights for investors in case of liquidation or exit

3. Conversion Rights: Terms for converting preferred shares to common shares, if applicable

4. Pre-emptive Rights: Rights of existing investors to participate in future funding rounds

5. Environmental and Social Compliance: Required for investments with ESG considerations or specific compliance requirements

6. Foreign Investment Compliance: Required when foreign investors are involved, addressing FEMA compliance

7. Industry-Specific Regulations: Additional provisions required for regulated industries like banking or insurance

8. Step-In Rights: Rights of investors to take control in specific circumstances, usually in structured finance deals

9. Put Option: Right of investor to sell shares back to promoters under specified conditions

Suggested Schedules

1. Schedule 1 - Capital Structure: Details of current and post-investment shareholding pattern

2. Schedule 2 - Business Plan: Detailed business plan and financial projections

3. Schedule 3 - Conditions Precedent: Detailed list of conditions to be satisfied before investment

4. Schedule 4 - Warranties: Comprehensive list of warranties given by the company and promoters

5. Schedule 5 - Reserved Matters: List of decisions requiring investor approval

6. Schedule 6 - Corporate Governance Requirements: Detailed corporate governance framework and procedures

7. Schedule 7 - Disclosure Letter: Exceptions and qualifications to the warranties

8. Appendix A - Key Management Personnel: Details of key management and their roles

9. Appendix B - Form of Legal Opinions: Template of legal opinions required for closing

10. Appendix C - Compliance Certificates: Forms of various compliance certificates required

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

alex.den.21@genieai.co

Relevant legal definitions

Clauses

Relevant Industries

Technology and Software

Manufacturing

Healthcare and Pharmaceuticals

Financial Services

Real Estate and Infrastructure

E-commerce

Renewable Energy

Education

Agriculture and Food Processing

Retail and Consumer Goods

Telecommunications

Media and Entertainment

Logistics and Transportation

Biotechnology

Relevant Teams

Legal

Finance

Corporate Development

Compliance

Risk Management

Treasury

Corporate Secretarial

Board of Directors

Investment Committee

Due Diligence

Strategic Planning

Corporate Finance

Relevant Roles

Chief Executive Officer

Chief Financial Officer

Chief Legal Officer

Investment Director

Corporate Finance Manager

Compliance Officer

Company Secretary

Managing Director

Private Equity Partner

Venture Capital Associate

Investment Banker

Legal Counsel

Financial Controller

Risk Manager

Board Director

Investment Committee Member

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