Syndicate Legal Advisory Services provides nationwide legal document preparation services for issuers and finders preparing engagement agreements and related materials for a private placement or other securities offering. We prepare the Offering Agreement (Finder Engagement) and supporting documents solely based on the commercial terms, party information, and specific instructions you provide.
Documents Commonly Prepared
We prepare documents associated with a Finder Engagement / Offering Agreement, including:
Finder Engagement Letter or Offering Agreement: Formatting of the principal agreement covering the scope of services (typically limited to introductions), compensation (including success fees or other arrangements), exclusivity or non-exclusivity, term, termination rights, representations and warranties, indemnification, confidentiality, and related commercial terms, based on the information and terms you supply.
Schedules and Exhibits: Organization and formatting of schedules describing the securities to be offered, compensation calculations, or other referenced materials, based on the information you provide.
Related Offering Documents Coordination Materials: Formatting of references or attachments linking to a private placement memorandum, subscription agreement, or other offering materials (the underlying offering documents themselves are prepared only if separately requested and based on content you supply).
Amendments or Side Letters: Preparation of amendments or side letters modifying the engagement terms, based on the updated details you provide.
Signature Pages and Supporting Materials: Organization of signature pages, notices, and other administrative materials referenced in the agreement, based on the information you supply.
Documents are prepared for use by the parties and, where applicable, for retention in connection with a securities offering conducted in reliance on an exemption from registration (such as Regulation D or another exemption). Clients remain fully responsible for determining whether the finder activities require registration as a broker-dealer under the Securities Exchange Act of 1934, the availability of any exemption from registration for the offering, compliance with the Securities Act of 1933, state “blue sky” laws, anti-money laundering requirements, and all other applicable laws; for the accuracy and completeness of all terms and disclosures; and for execution, delivery, and performance of the agreement.
