Standard Contracts
INDEMNIFICATION AGREEMENTIndemnification Agreement • October 25th, 2022 • Prestige Wealth Inc. • Finance services • New York
Contract Type FiledOctober 25th, 2022 Company Industry JurisdictionThis Indemnification Agreement (this “Agreement”) is entered into as of by and between Prestige Wealth Inc., a Cayman Islands company (the “Company”), and the undersigned, a director and/or an officer of the Company (“Indemnitee”), as applicable.
EMPLOYMENT AGREEMENTEmployment Agreement • October 25th, 2022 • Prestige Wealth Inc. • Finance services • New York
Contract Type FiledOctober 25th, 2022 Company Industry JurisdictionThis EMPLOYMENT AGREEMENT (the “Agreement”), is entered into as of April 8, 2020 by and between Prestige Wealth Inc., a company incorporated and existing under the laws of the Cayman Islands (the “Company”), and Wong Ngat, an individual (the “Executive”). The term “Company” as used herein with respect to all obligations of the Executive hereunder shall be deemed to include the Company and all of its direct or indirect parent companies, subsidiaries, affiliates, or subsidiaries or affiliates of its parent companies (collectively, the “Group”).
PRESTIGE WEALTH INC. UNDERWRITING AGREEMENTUnderwriting Agreement • December 2nd, 2022 • Prestige Wealth Inc. • Finance services
Contract Type FiledDecember 2nd, 2022 Company IndustryThe undersigned, Prestige Wealth Inc., an exempted company incorporated in the Cayman Islands (the “Company”), hereby confirms its agreement (this “Agreement”) with Network 1 Financial Securities, Inc. (the “Underwriter”) to issue and sell to the Underwriter an aggregate of [●] ordinary shares, par value US$0.000625, of the Company (“Ordinary Shares”). The offering and sale of securities contemplated by this Agreement is referred to herein as the “Offering.”
PRESTIGE WEALTH INC. UNDERWRITING AGREEMENTUnderwriting Agreement • July 10th, 2023 • Prestige Wealth Inc. • Finance services • New York
Contract Type FiledJuly 10th, 2023 Company Industry JurisdictionThe undersigned, Prestige Wealth Inc., an exempted company incorporated in the Cayman Islands (the “Company”), hereby confirms its agreement (this “Agreement”) with Revere Securities LLC (the “Underwriter”) to issue and sell to the Underwriter an aggregate of 1,000,000 ordinary shares, par value US$0.000625, of the Company (“Ordinary Shares”). The offering and sale of securities contemplated by this Agreement is referred to herein as the “Offering.”
ESCROW AGREEMENTEscrow Agreement • June 23rd, 2023 • Prestige Wealth Inc. • Finance services • New York
Contract Type FiledJune 23rd, 2023 Company Industry JurisdictionThis Escrow Agreement dated this [ ] day of [ ] 2023 (the “Escrow Agreement”), is entered into by and among Prestige Wealth Inc., a company organized under the laws of the Cayman Islands (the “Company” or “Prestige”), having an address at Suite 5102, 51/F, Cheung Kong Center, 2 Queen’s Road Central, Hong Kong, Revere Securities, LLC, (the “Representative”), each a “Party” and collectively, the “Parties.”.and Wilmington Trust, National Association, as escrow agent (“Escrow Agent”).
INVESTMENT ADVISORY AGREEMENT Between PRESTIGE GLOBAL ASSET MANAGEMENT LIMITED (the “Manager”) and PRESTIGE ASSET MANAGEMENT LIMITED (the “Investment Advisor”) in respect of the Prestige Global Allocation FundInvestment Advisory Agreement • October 25th, 2022 • Prestige Wealth Inc. • Finance services • Hong Kong
Contract Type FiledOctober 25th, 2022 Company Industry Jurisdiction
PRESTIGE GLOBAL FUND SPC INVESTMENT ADVISOR PRESTIGE ASSET MANAGEMENT LIMITED (Securities & Futures Commission of Hong Kong licence: BHS708) SUBSCRIPTION AGREEMENT INSTRUCTIONSSubscription Agreement • October 25th, 2022 • Prestige Wealth Inc. • Finance services
Contract Type FiledOctober 25th, 2022 Company IndustryPrestige Global Fund SPC (the “Fund”) is offering the Participating Shares, as specified in the subscription below. Subscribers should carefully review the current private placement memorandum of the Fund and any supplements of each Portfolio thereto as supplied by the Manager (together, the “Private Placement Memorandum”) and the most recent annual report and audited accounts (where applicable), before subscribing for Participating Shares.
the “Manager”) MANAGEMENT AGREEMENTManagement Agreement • August 23rd, 2019 • Prestige Wealth Inc. • Finance services • Hong Kong
Contract Type FiledAugust 23rd, 2019 Company Industry Jurisdiction
THIS AGREEMENT is made on this 15 July 2018 BETWEEN:Office Space Agreement • February 15th, 2019 • Prestige Wealth Inc. • Finance services • Hong Kong
Contract Type FiledFebruary 15th, 2019 Company Industry Jurisdiction
Referral AgreementReferral Agreement • October 25th, 2022 • Prestige Wealth Inc. • Finance services
Contract Type FiledOctober 25th, 2022 Company IndustryThis contract is entered into by and between [ A ] Limited (hereinafter referred to as Party A), and [ B ] Limited (hereinafter referred to as Party B).
INVESTMENT Management agreementInvestment Management Agreement • October 25th, 2022 • Prestige Wealth Inc. • Finance services
Contract Type FiledOctober 25th, 2022 Company Industry
CLASS A ORDINARY SHARE PURCHASE WARRANT PRESTIGE WEALTH INC.Class a Ordinary Share Purchase Warrant • July 5th, 2024 • Prestige Wealth Inc. • Finance services • New York
Contract Type FiledJuly 5th, 2024 Company Industry JurisdictionTHIS ORDINARY SHARE PURCHASE WARRANT (the “Warrant”) certifies that, for value received, Tokyo Bay Management Inc. or its assigns (the “Holder”) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any time on or after the date that is six months following the date hereof (the “Initial Exercise Date”) and on or prior to January 02, 2030 (the “Termination Date”), but not thereafter, to subscribe for and purchase from Prestige Wealth Inc., an exempted company incorporated in the Cayman Islands (the “Company”), up to 450,000 Class A ordinary shares, par value $0.000625 per share (the “Ordinary Shares”) (as subject to adjustment hereunder, the “Warrant Shares”). The purchase price of one Ordinary Share under this Warrant shall be equal to the Exercise Price (as defined in Section 2(c) hereof).
investment ADVISORY AgreementInvestment Advisory Agreement • August 23rd, 2019 • Prestige Wealth Inc. • Finance services • Hong Kong
Contract Type FiledAugust 23rd, 2019 Company Industry Jurisdiction
dELEGATION AgreementDelegation Agreement • December 20th, 2021 • Prestige Wealth Inc. • Finance services • Hong Kong
Contract Type FiledDecember 20th, 2021 Company Industry Jurisdiction
Underwriter’s WarrantUnderwriter's Warrant • December 2nd, 2022 • Prestige Wealth Inc. • Finance services • New York
Contract Type FiledDecember 2nd, 2022 Company Industry JurisdictionTHE REGISTERED HOLDER OF THIS PURCHASE WARRANT AGREES BY HIS, HER OR ITS ACCEPTANCE HEREOF, THAT SUCH HOLDER WILL NOT FOR A PERIOD OF ONE HUNDRED EIGHTY (180) DAYS BEGINNING ON THE date of the commencemEnt of sales of the offering pursuant the registration statement No: 333-267999 AS FILED WITH THE SECURITIES AND EXCHANGE COMMISSION: (A) SELL, TRANSFER, ASSIGN, PLEDGE OR HYPOTHECATE THIS PURCHASE WARRANT TO ANYONE OTHER THAN OFFICERS OR PARTNERS OF NETWORK 1 FINANCIAL SECURITIES, INC., EACH OF WHOM SHALL HAVE AGREED TO THE RESTRICTIONS CONTAINED HEREIN, IN ACCORDANCE WITH FINRA CONDUCT RULE 5110(E)(1), OR (B) CAUSE THIS PURCHASE WARRANT OR THE SECURITIES ISSUABLE HEREUNDER TO BE THE SUBJECT OF ANY HEDGING, SHORT SALE, DERIVATIVE, PUT OR CALL TRANSACTION THAT WOULD RESULT IN THE EFFECTIVE ECONOMIC DISPOSITION OF THIS PURCHASE WARRANT OR THE SECURITIES HEREUNDER, EXCEPT AS PROVIDED FOR IN FINRA RULE 5110(e)(2).
INVESTMENT Management agreementInvestment Management Agreement • February 15th, 2019 • Prestige Wealth Inc. • Finance services • Hong Kong
Contract Type FiledFebruary 15th, 2019 Company Industry Jurisdiction
Client Referral AgreementClient Referral Agreement • December 20th, 2021 • Prestige Wealth Inc. • Finance services • Hong Kong
Contract Type FiledDecember 20th, 2021 Company Industry JurisdictionThis contract is entered into by and between Blue Ocean Wealth Management (Hong Kong) Ltd. (hereinafter referred to as Party A) and Prestige Private Wealth Management Limited (hereinafter referred to as Party B)
ONGOING ADVISORY AgreementOngoing Advisory Agreement • December 20th, 2021 • Prestige Wealth Inc. • Finance services • Hong Kong
Contract Type FiledDecember 20th, 2021 Company Industry Jurisdiction
fund FORMATION ADVISORY AgreementFund Formation Advisory Agreement • December 20th, 2021 • Prestige Wealth Inc. • Finance services • Hong Kong
Contract Type FiledDecember 20th, 2021 Company Industry Jurisdiction
PRESTIGE GLOBAL ALLOCATION FUND SUBSCRIPTION AGREEMENT INSTRUCTIONSSubscription Agreement • October 25th, 2022 • Prestige Wealth Inc. • Finance services
Contract Type FiledOctober 25th, 2022 Company IndustryPrestige Global Allocation Fund (the “Fund”) is offering the Participating Shares, as specified in the Private Placement Memorandum (as defined below). Subscribers should carefully review the current private placement memorandum of the Fund and any appendix thereto for each Class of Participating Shares as supplied by the Manager (together, the “Private Placement Memorandum”) and the most recent annual report and audited accounts (where applicable), before subscribing for Participating Shares.
ONGOING ADVISORY AGREEMENTOngoing Advisory Agreement • October 25th, 2022 • Prestige Wealth Inc. • Finance services • Hong Kong
Contract Type FiledOctober 25th, 2022 Company Industry JurisdictionPARTY A is an asset management company registered in Hong Kong, serving a number of ultra-high net worth family and institutional investors. PAM is a qualified asset management company holding the license of “providing asset management (type 9)” and providing advice on Securities (type 4) issued by the Hong Kong SFC, with the central number BHS708. PARTY A intends to expand the global asset allocation and investment fund business, and is willing to cooperate with PAM. PAM has rich experience in fund establishment, issuance and compliance operation in Hong Kong market, and has high-quality cooperation network resource.
Business Development & Marketing Consulting AgreementBusiness Development & Marketing Consulting Agreement • June 28th, 2024 • Prestige Wealth Inc. • Finance services • Hong Kong
Contract Type FiledJune 28th, 2024 Company Industry JurisdictionParty A has decided to hire Party B as a consultant for business development, market expansion, sales channel establishment, marketing strategies, and product planning, etc. Party B also agrees to act as a consultant for Party A.