Appointment, Term, and Termination Sample Clauses
Appointment, Term, and Termination a. Client hereby engages and retains Dalmore to provide operations and compliance services at Client’s discretion.
b. The Agreement will commence on the Effective Date and will remain in effect for a period of twelve (12) months and will renew automatically for successive renewal terms of twelve (12) months each unless any party provides notice to the other party of non-renewal at least sixty (60) days prior to the expiration of the current term. If Client defaults in performing the obligations under this Agreement, the Agreement may be terminated (i) upon sixty (60) days written notice if Client fails to perform or observe any material term, covenant or condition to be performed or observed by it under this Agreement and such failure continues to be unremedied, (ii) upon written notice, if any material representation or warranty made by either Provider or Client proves to be incorrect at any time in any material respect, (iii) in order to comply with a Legal Requirement, if compliance cannot be timely achieved using commercially reasonable efforts, after providing as much notice as practicable, or (iv) upon thirty (30) days’ written notice if Client or Dalmore commences a voluntary proceeding seeking liquidation, reorganization or other relief, or is adjudged bankrupt or insolvent or has entered against it a final and unappeable order for relief, under any bankruptcy, insolvency or other similar law, or either party executes and delivers a general assignment for the benefit of its creditors. The description in this section of specific remedies will not exclude the availability of any other remedies. Any delay or failure by Client to exercise any right, power, remedy or privilege will not be construed to be a waiver of such right, power, remedy or privilege or to limit the exercise of such right, power, remedy or privilege. No single, partial or other exercise of any such right, power, remedy or privilege will preclude the further exercise thereof or the exercise of any other right, power, remedy or privilege. All terms of the Agreement, which should reasonably survive termination, shall so survive, including, without limitation, limitations of liability and indemnities, and the obligation to pay Fees relating to Services provided prior to termination.
Appointment, Term, and Termination. Issuer hereby engages and retains Rialto to provide operations and compliance services as listed:
a. Act as the Investor Onboarding Agent/Broker of Record for 1A (SEC) and5110 (FINRA) filings’
b. Review investor information, including KYC (Know Your Customer) details, conduct AML (Anti-Money Laundering) and other compliance background checks, and provide a recommendation to Issuer whether or not to accept investor as a customer of the Issuer;
c. Review each investors subscription agreement to confirm such Investors participation in the offering, and provide a determination to Issuer whether or not to accept the use of the subscription agreement for the Investor participation;
d. Manage exceptions with Investor subscription agreements, personal details or funds;
e. Reconcile Investor subscription agreements and investment funds;
f. Not provide any investment advice nor any investment recommendations to any investor;
g. Coordinate with Legal Counsel/Prep Services, Registered Transfer Agent of the Issuer, Blue Sky filing and monitoring Service and escrow agent for offering if applicable;
h. Maintain investor details securely and not disclose to any third-party except as required by regulators or in Rialto’s execution of services as listed in this agreement;
i. Review of the landing page and any marketing material related to the Offering.
j. Provide investment technology to onboard and qualify potential investors (“InvestNow Technology”). including the “Invest Now” button link for Issuer’s website. The Agreement will commence on the Effective Date and will remain in effect for twelve (12) months. If Issuer defaults in performing the obligations under this Agreement, the Agreement may be terminated (i) upon sixty (60) days written notice if Issuer fails to perform or observe any material term, covenant or condition to be performed or observed by it under this Agreement and such failure continues to be unremedied, (ii) upon written notice, if any material representation or warranty made by either Provider or Issuer proves to be incorrect at any time in any material respect, (iii) in order to comply with a Legal Requirement, if compliance cannot be timely achieved using commercially reasonable efforts, after providing as much notice as practicable, or (iv) upon thirty (30) days’ written notice if Issuer or Rialto commences a voluntary proceeding seeking liquidation, reorganization or other relief, or is adjudged bankrupt or insolvent or has entered against it a f...
Appointment, Term, and Termination. Client hereby engages and retains Andes to provide operations and compliance services as listed:
a. Act as the Broker of Record for 1A (SEC), 5110 (FINRA) and Blue-Sky (States & Territories) filings
b. Provide introductions and coordination with engaging additional parties and service providers
c. assist with use of an “Issuer Reg A Raise” website where potential and current investors begin the process of onboarding/investing by entering their interest, required personal information and review and sign all offering related documentation;
d. performing AML/KYC on all investors;
e. coordination with Registered Transfer Agent of the Company;
f. coordination with the escrow agent of the Company for funds raised;
g. coordination with the Company’s legal partners; and
h. providing other financial advisory services normal and customary for similar transactions and as may be mutually agreed upon by Andes and the Company (collectively, the “Services”).
Appointment, Term, and Termination a. Client hereby engages and retains Dalmore to provide operations and compliance services at Client’s discretion.
b. The Agreement will commence on the Effective Date and will remain in effect for a period of twelve (12) months and will renew automatically for successive renewal terms of twelve (12) months each unless any party provides notice to the other party of non-renewal at least sixty (60) days prior to the expiration of the current term. If Client defaults in performing the obligations under this Agreement, the Agreement may be terminated (i) upon sixty (60) days written notice if Client fails to perform or observe any material term, covenant or condition to be performed or observed by it under this Agreement and such failure continues to be unremedied,
Appointment, Term, and Termination. Issuer hereby engages and retains Rialto to provide operations and compliance services as listed:
a. Act as the Broker – Dealer On Boarding Agent for 1A (SEC), 5110 (FINRA) and Blue-Sky (States & Territories) filings’
b. Provide introductions and coordination with engaging additional parties and service providers
c. assist with use of an “Issuer Reg A Raise” website where potential and current investors begin the process of onboarding/investing by entering their interest, required personal information and review and sign all offering related documentation;
d. performing AML/KYC on all investors;
e. coordination with Registered Transfer Agent of the Issuer;
f. coordination with the escrow agent of the Issuer for funds raised;
g. coordination with the Issuer’s legal partners; and
h. providing other financial advisory services normal and customary for similar transactions and as may be mutually agreed upon by Rialto Markets LLC and the Issuer (collectively, the “Services”).
i. Investment Applicant Services (see Schedule B for associated fees)
Appointment, Term, and Termination. Client hereby engages and retains Rialto to provide operations and compliance services as listed:
a. Act as the Broker of ▇▇▇▇▇▇ ▇▇▇ ▇▇ (▇▇▇), ▇▇▇▇ (▇▇▇▇▇) and Blue-Sky (States & Territories) filings’
b. Provide introductions and coordination with engaging additional parties and service providers
c. assist with use of an “Issuer Reg A Raise” website where potential and current investors begin the process of onboarding/investing by entering their interest, required personal information and review and sign all offering related documentation;
d. performing AML/KYC on all investors;
e. coordination with Registered Transfer Agent of the Company;
f. coordination with the escrow agent of the Company for funds raised;
g. coordination with the Company’s legal partners; and
h. providing other financial advisory services normal and customary for similar transactions and as may be mutually agreed upon by Rialto Markets LLC and the Company (collectively, the “Services”).
i. Investment Applicant Services (see Schedule B for associated fees)
j. “Payment Rails” for the use of providing investors with the ability to invest in the offering using credit cards and/or ACH. The Agreement will commence on the Effective Date and will remain in effect for a period of twelve (12) months and will renew automatically for successive renewal terms of twelve (12) months each unless any party provides notice to the other party of non-renewal at least sixty (60) days prior to the expiration of the current term. If Client defaults in performing the obligations under this Agreement, the Agreement may be terminated (i) upon sixty (60) days written notice if Client fails to perform or observe any material term, covenant or condition to be performed or observed by it under this Agreement and such failure continues to be unremedied, (ii) upon written notice, if any material representation or warranty made by either Provider or Client proves to be incorrect at any time in any material respect, (iii) in order to comply with a Legal Requirement, if compliance cannot be timely achieved using commercially reasonable efforts, after providing as much notice as practicable, or (iv) upon thirty (30) days’ written notice if Client or Rialto commences a voluntary proceeding seeking liquidation, reorganization or other relief, or is adjudged bankrupt or insolvent or has entered against it a final and unappealable order for relief, under any bankruptcy, insolvency or other similar law, or either party execu...
Appointment, Term, and Termination a. Issuer hereby engages Dalmore to serve as the broker of record in connection with the Offering. The Parties agree that Dalmore shall provide only those services listed on Exhibit A attached hereto (the “Services”), unless otherwise agreed to in writing by the Parties. It is expressly understood and acknowledged that Dalmore’s services hereunder shall be subject to, among other things, satisfactory completion of due diligence by Dalmore and such other conditions that Dalmore may deem appropriate in light of the Services being provided. Except as provided hereunder, Dalmore will not have any authority to act as agent for Issuer.
b. This Agreement shall continue in effect until terminated in accordance with the following:
(i) in writing by mutual consent of the Parties; or
(ii) by Issuer, if as of the eighteen (18) month anniversary of the Effective Date, the Offering has not had its final Closing; or
(iii) the SEC has issued an order granting the Issuer’s request to withdraw its Offering Statement on Form 1-A or other offering document; or
(iv) by Dalmore, at any time upon sixty (60) days’ notice to Issuer; or
(v) by either Party, upon ten (10) days’ written notice, if the other Party commences a voluntary proceeding seeking liquidation, reorganization or other relief, or is adjudged bankrupt or insolvent or has entered against it a final and unappealable order for relief, under any bankruptcy, insolvency or other similar law, or such Party executes and delivers a general assignment for the benefit of its creditors; or
(vi) by either Party, upon ten (10) days’ written notice, upon a material breach of the terms hereof by the other Party, or in the event that the other Party becomes subject to any regulatory or governmental proceeding or other litigation that is likely to have a material adverse effect on the ability of such Party to perform its obligations hereunder or otherwise is reasonably likely to cause harm to the reputation of such Party.
Appointment, Term, and Termination a. The Company retains Dalmore to act as the Company’s intermediary for the Offering. The Company will furnish to Dalmore, among other things, the information required to complete the SEC Form C, including designating the
b. This Agreement will commence on the Effective Date and will remain in effect for a period of 12 months. This Agreement may be terminated (i) by the Company upon thirty (30) days written notice to Dalmore (ii) by ▇▇▇▇▇▇▇ upon thirty (30) days
Appointment, Term, and Termination a. Client hereby engages and retains Dalmore to provide sales, operations and compliance services at Client’s discretion.
b. The Agreement will commence on the Effective Date and will remain in effect for a maximum period of twelve (12) months. The Agreement will automatically terminate if the offering raises the maximum amount or if Client chooses to close the offering early, or if the client decide to close the offering before reaching the maximum amount. If Client defaults in performing the obligations under this Agreement, the Agreement may be terminated (i) upon sixty (60) days written notice if Client fails to perform or observe any material term, covenant or condition to be performed or observed by it under this Agreement and such failure continues to be unremedied, (ii) upon written notice, if any material representation or warranty made by either Provider or Client proves to be incorrect at any time in any material respect, (iii) in order to comply with a Legal Requirement, if compliance cannot be timely achieved using commercially reasonable efforts, after providing as much notice as practicable, or (iv) upon thirty
Appointment, Term, and Termination. Services . Client hereby engages Dalmore to perform the services listed on Exhibit A attached hereto and made apart hereof, in connection with the Offering (the “ Services ”). Unless otherwise agreed to in writing by the parties, the services to be performed by Dalmore are limited to those Services. b.