Financial Advisory Services Sample Clauses
POPULAR SAMPLE Copied 13 times
Financial Advisory Services. During the term of this agreement, Stanford Group shall provide the Company with such regular and customary financial advisory services as are reasonably requested by the Company, provided that Stanford Group shall not be required to undertake duties not reasonably within the scope of the financial advisory services in which it is generally engaged. In performance of its duties, Stanford Group shall provide the Company with the benefit of its judgment. It is understood and acknowledged by the parties that the value of Stanford Group’s advice is not measurable in a quantitative manner and Stanford Group shall be obligated to render advice, upon the request of the Company, in good faith, as shall be determined by Stanford Group, Stanford Group shall:
(a) assist the Company in identifying its financing needs; help formulate a financing structure with respect to what is usual and standard practice in financings for organizations in similar circumstances;
(b) introduce the Company to appropriate institutional and/or retail investors for presentations; and
(c) introduce the Company to such other corporations or individuals that may be beneficial in advancing the Company’s research or business goals. The Company acknowledges that Stanford Group and its affiliates are in the business of providing financial advisory services (of all types contemplated by this agreement) to others. Nothing herein contained shall be construed to limit or restrict Stanford Group or its affiliates in conducting such business with respect to others or in rendering such advice to others. The Company recognizes and confirms that Stanford Group, in acting pursuant to this engagement will be using information in reports and other information provided by others, including, without limitation, information provided by, or on behalf of the Company, and that Stanford Group does not assume responsibility for, and may rely on, without independent verification of, the accuracy and completeness of any such reports and information. The Company hereby warrants that any information relating to the Company that is furnished to Stanford Group by the Company will be fair, accurate and complete and will not contain any material omissions or misstatements of fact. The Company agrees that any information or advice rendered by Stanford Group or its representatives in connection with this engagement is for the confidential use of the Company’s Board of Directors only in its evaluation of the matters for which ...
Financial Advisory Services. The Client has retained Advisor to prepare a written financial plan or recommended investment allocation and in some cases specific investment security recommendations based on the Client's individual financial needs and circumstances as documented in a client questionnaire or other such documents or otherwise communicated information that informs the Advisor about the Client’s assets, goals, priorities and risk tolerance. The Client authorizes Advisor to enter into such agreements and make such representations, as may be necessary or proper in connection with the performance of its duties under this Agreement. Because the financial plan will be based on the information that the Client provides to Advisor, the completeness and accuracy of the information provided by the Client is very important. Once the Client has received the written financial plan, the Client will have the sole responsibility for determining whether to implement the recommendations contained therein. The Advisor will review and update the Client’s financial plan no less frequently than annually for changes in the Client's financial situation, plan objectives or plan objectives’ relative priorities or upon demand by the Client or whenever the Advisor considers a plan update and review is in the Client’s best interest or should there be a material change in circumstances for the Client.
Financial Advisory Services. 1.1.1. Helix will act as the principal financial advisor to the Company and its domestic subsidiaries and affiliates, and will assist the Company in identifying, introducing, analyzing, structuring, negotiating, and effecting the Transactions (as defined below), on the terms and conditions of this Agreement set forth below. In connection with services relating to the Transactions, Helix will assist and consult with the Company on strategic, financial and operational issues and tactical implementation of concepts relating to the growth of the Company.
1.1.2. Yoav Stern, and other professio▇▇▇▇ ▇▇ Helix, will devote significant time, as needed, to participate in meetings, lead strategic planning sessions, initiate and help in recruiting key personnel and advise management on operational issues in growth and/or turnaround situations.
1.1.3. As used herein, the term "Transaction" shall mean (i) any transaction or series of transactions (other than the purchase or sale of assets in the ordinary course of business) whereby, directly or indirectly, the Company acquires, or the Company or any of its assets or properties is acquired by, or merges with or into another entity, or any other similar business transaction or arrangement between the Company or any of its domestic subsidiaries and affiliates and a third party, including, without limitation, a merger, combination or consolidation, regardless of the accounting or tax treatment of such transaction (each, a "M&A Transaction"), and (ii) any transaction or series of transactions (other than senior debt financing, and transactions with banking institutions arranged by the Company's management in the ordinary course of business) whereby, directly or indirectly, the Company or any of its domestic subsidiaries or affiliates receives additional capital or debt financing or markets additional equity other than through a public offering (each, a "Capital Transaction").
Financial Advisory Services. The Company will provide you with a stipend of $10,000 annually toward the cost of personal financial advisory or tax preparation services.
Financial Advisory Services. The Company shall pay for financial counselling services provided to the Executive up to a maximum of $15,000.00 per year.
Financial Advisory Services. DCAA will provide general advice on accounting, auditing, and financial matters in areas of DCAA responsibility, and facilitate and coordinate audit services with Field Audit Offices (FAOs.)
Financial Advisory Services. For the Financial Advisory Services rendered by Advisor, the Company shall pay Advisor a one-time, non-refundable retainer fee of $10,000 payable upon execution of this Agreement, and shall issue Advisor 30,000 warrants to purchase the Company’s common stock at 105% of the Average Closing Price (as defined herein) as of the date this Agreement is executed. Such warrants shall have a term of five years and contain cashless exercise provisions. Such warrants and the underlying common stock shall have piggyback registration rights.
Financial Advisory Services. Rona agrees to perform financial advisory services as described herein upon the terms and conditions herein set forth.
Financial Advisory Services. CMA will provide the following services in connection with bond and note financings (the "Issue"), undertaken by the District during the term of this Agreement.
1.01 Review legal, financial, economic and other information necessary for CMA to advise the District in planning, structuring and otherwise completing each Issue to be undertaken by the District.
1.02 Discuss a plan of financing which will include CMA's analysis and recommendations to the District regarding funding requirements, structuring alternatives, marketing, method of sale, security features, call provisions, credit ratings, credit enhancement, term, federal tax implications and such other matters which the District and CMA agree should be included in the plan of financing.
1.03 Prepare or assist in the preparation of financing documents, as required by the District, including but not limited to: Official Statement, Notice of Sale and Bid Sheet, request for a credit rating, request for municipal bond insurance, DTC Letter of Representations and debt statement.
1.04 Upon the request of the District, CMA will assist The District in the selection of other service providers necessary to conduct each Issue including but not limited to bond counsel, rating agencies, bond insurers, underwriters, trustee and financial printer, if appropriate.
1.05 Prepare and maintain a financing schedule, cost of issue budget, list of participants, and take such other actions requested by the District to efficiently manage each Issue.
1.06 Participate in debt sale, confirm net interest cost calculation and make award recommendation.
1.07 Assist the District with the delivery of proceeds of each Issue, payment of issuance costs and other matters related to closing each Issue.
1.08 Participate in the closing of the Issue and verify receipt of Issue proceeds.
1.09 Provide services for Required Continuing Disclosure and Material Event Notice Filing Pursuant to Rule 15c2-12 of the Securities Exchange Act of 1934 The District is obligated to submit to Municipal Securities Rulemaking Board’s (“MSRB”) Electronic Municipal Market Access (“EMMA”) system, annually, certain financial information and operating data contained in the pertinent Official Statements under the headings: “Description of the District”, “District Indebtedness”, “Financial Factors”, “Budgetary Procedures”, “Litigation”, and Appendix B and a copy of the District’s audited financial statements for the latest completed fiscal year no later than the 180th d...
Financial Advisory Services. 3.1 Helix hereby engages ACM to find and introduce to Helix potential Investors, not residents of Canada or the United States, in respect of private placements (“Placements”) of Helix treasury shares (“Securities”). ACM will only find and introduce to Helix Investors who fit within the definition of an “accredited investor”, as set out in Schedule “A” attached.
3.2 ACM will provide Helix with the names and contact information of any potential Investors. Helix will then advise ACM whether the potential Investor has already been introduced to Helix, or whether such potential Investor may be an “ACM Contacted Investor” for purposes of this Agreement.
3.3 Should an ACM Contacted Investor successfully complete a Placement with Helix within six months of such investor being disclosed to Helix by ACM, then ACM shall have earned and be entitled to a fee equal to 12.5% of the funds raised. Such fee shall be payable to ACM within 10 business days following the closing of the Placement, and the receipt by Helix of the gross proceeds of the Placement.
3.4 ACM acknowledges that this Agreement and any fee ultimately payable to ACM as a result of a Placement may be subject to approval of such regulatory authorities as may have jurisdiction over Helix and the Placements, including but not limited to The Toronto Stock Exchange (“TSX”), NYSE Amex and the Securities and Exchange Commission of the United States.
3.5 The terms and conditions of the Placements and the acceptance thereof will be in the sole and exclusive discretion of Helix.
3.6 ACM will only contact ACM Contacted Investors for purposes of this Agreement, and will only provide and disclose to ACM Contacted Investors, information which has been approved by Helix and ACM will ensure that any ACM Contacted Investor is provided with any new or updated information provided to ACM by Helix on a timely basis.
3.7 ACM acknowledges that ACM Contacted Investors are only to be Investors who are not residents of Canada or the United States and who are purchasing for their own account and not for the benefit of any resident of Canada or of the United States. Accordingly:
(a) ACM will only contact ACM Contacted Investors who it reasonably believes to be resident of a country other than Canada or the United States who are purchasing for their own account;
(b) If an ACM Contacted Investor provides a signed subscription agreement to Helix, ACM will, at the request of Helix, provide Helix with its certificate that the subscriber ...