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”).
Appears in 3 contracts
Sources: Broker Dealer Engagement Agreement (FirstVitals Inc.), Broker Dealer Engagement Agreement (FirstVitals Inc.), Broker Dealer Engagement Agreement (FirstVitals Inc.)
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 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 CompanyClient;
f. coordination with the escrow agent of the Company Client for funds raised;
g. coordination with the CompanyClient’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 Client (collectively, the “Services”).
Appears in 1 contract
Sources: Broker Dealer Engagement Agreement (Stock-Wars LLC)