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Investment Banking Agreement
"I need an Investment Banking Agreement for a Saudi-based technology company seeking capital raising and M&A advisory services, with the agreement to commence on March 1, 2025, and include specific provisions for cross-border transactions and international fundraising."
1. Parties: Identification of the investment bank and the client, including full legal names, commercial registration numbers, and authorized representatives
2. Background: Context of the agreement, relationship background, and general purpose of the engagement
3. Definitions: Key terms used throughout the agreement, including regulatory, technical, and financial terminology
4. Appointment and Scope of Services: Detailed description of investment banking services to be provided and the exclusive/non-exclusive nature of the appointment
5. Bank's Obligations: Specific duties and responsibilities of the investment bank, including service delivery standards and regulatory compliance
6. Client's Obligations: Client's responsibilities, including information provision, cooperation requirements, and compliance obligations
7. Fees and Payment Terms: Detailed fee structure, payment schedules, expenses, and terms for success fees or commissions
8. Shariah Compliance: Provisions ensuring compliance with Islamic financial principles and requirements
9. Representations and Warranties: Standard and specific representations by both parties regarding capacity, authority, and compliance
10. Confidentiality: Obligations regarding confidential information, data protection, and permitted disclosures
11. Regulatory Compliance: Compliance with SAMA, CMA, and other applicable Saudi regulations
12. Term and Termination: Duration of the agreement, renewal terms, and termination rights
13. Liability and Indemnification: Allocation of risks, limitation of liability, and indemnification obligations
14. Force Majeure: Events excusing performance and related procedures
15. Governing Law and Jurisdiction: Saudi Arabian law as governing law and jurisdiction for dispute resolution
16. General Provisions: Standard boilerplate clauses including notices, amendments, and assignment
1. Islamic Finance Advisory: Additional section when specific Islamic finance advisory services are included
2. International Transactions: Additional provisions for cross-border transactions or international clients
3. Syndication Provisions: Required when the agreement involves syndicated transactions or multiple financial institutions
4. Research Services: Additional terms when research services are part of the engagement
5. Corporate Finance Advisory: Specific provisions for corporate finance advisory services
6. Asset Management: Terms specific to asset management services if included in the scope
7. Underwriting Services: Provisions specific to underwriting commitments and related services
8. Anti-corruption Compliance: Enhanced compliance provisions for high-risk transactions or jurisdictions
1. Schedule 1 - Scope of Services: Detailed breakdown of all investment banking services to be provided
2. Schedule 2 - Fee Schedule: Comprehensive fee structure including all types of fees, commissions, and expenses
3. Schedule 3 - Key Personnel: List of key team members and their roles in providing the services
4. Schedule 4 - Compliance Requirements: Specific regulatory and Shariah compliance requirements applicable to the engagement
5. Schedule 5 - Client Information Requirements: Details of information and documentation to be provided by the client
6. Schedule 6 - Service Level Standards: Performance metrics and service delivery standards
7. Appendix A - Required Regulatory Disclosures: Mandatory disclosures required by SAMA and CMA regulations
8. Appendix B - Form of Engagement Letters: Templates for specific transaction engagement letters
9. Appendix C - Shariah Guidelines: Specific Shariah compliance guidelines and requirements
Authors
Financial Services
Banking
Investment Management
Private Equity
Real Estate
Infrastructure
Energy
Manufacturing
Technology
Healthcare
Telecommunications
Mining and Minerals
Retail
Transportation and Logistics
Legal
Compliance
Finance
Corporate Development
Treasury
Risk Management
Investment Banking
Corporate Finance
Business Development
Board Secretariat
Shariah Advisory
Operations
Chief Executive Officer
Chief Financial Officer
General Counsel
Head of Investment Banking
Managing Director
Investment Banking Director
Corporate Finance Manager
Compliance Officer
Legal Counsel
Risk Manager
Treasury Manager
Business Development Director
Financial Controller
Company Secretary
Board Member
Shariah Compliance Officer
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