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Intermediation agencies will often attempt to raise capital from a large number of institutional investors (for example. B pension funds, insurance, foundations, funds of funds, sovereign wealth funds) as well as family offices and wealthy individuals. Some brokers focus exclusively on a certain type of institutional investor (for example. B U.S. pension advisors for corporate and public pension funds). This investment agent agreement («agreement») is entered into by and between Achieve Life Sciences, Inc. (the «Company») and Paulson Investment Company, LLC, a limited liability company in Delaware (the «Investment Agent»), at the time of the first written agreement. The Company instructs the investment agent to assist the company, as an exclusive investment agent, in arreasing an offer of its common shares and other securities (the «securities») on terms to be defined by the parties (the «offer»). The terms of the offer are described in more detail in the final transaction documents relating to the offer, which will be established by the company with the support of the investment agent. However, the skills of experienced placement officers go far beyond simple initiations.

Some investment agents offer value-added services, such as preparing marketing materials. B, formulating a targeting strategy, organizing road shows and even negotiating on behalf of the Fund. These services can be particularly useful to new fund managers. Raising money for private companies can be a frustrating and stressful experience. Without the type of public access to investing enjoyed by a public company and the type of restrictions that can be invested in many types of private placements, it can be discouraging to find suitable investors. It can also be expensive, not only in terms of money, but especially in terms of time and effort that you and your employees could otherwise invest in finding new customers, improving business processes or creating new products. For those who wish support in the fundraising process, it is possible to hire a registered broker-dealer who acts as an investment agent for the offer. This blog discusses the role of mediation officers in the fundraising process. What is a mediation officer and what can they do? In essence, a broker is a registered broker (a «BD») that assists the company offering the securities (the «issuer») by linking them to qualified investors who may be interested in purchasing the issuer`s securities. One of the main advantages of using an investment agent is the ability to quickly access potential investors with whom the investment officer has a pre-existing relationship. From its long list of qualified investors, the agent can help identify potential investors who may be interested in this specific investment opportunity. This ability to identify qualified potential investors and reach out to those who are most likely to invest increases the chances that the company will be able to increase the capital sought.

In addition, dependence on the agent`s existing investor relationships helps the issuer avoid violations of general advertising and advertising restrictions when conducting a private placement in accordance with Rule 506 (b). A related function of the investment officer in a private placement is to assist the issuer in preparing and distributing its private placement brief (a «PPM») to potential investors. The PPM is a disclosure document made available to potential investors and performs a function similar to that of a prospectus during a registered IPO (this document is sometimes referred to as an «offer circular» or «offer memorandum»). The PPM contains essential information about the company, such as its history and description of the company`s activities, financial data and investment risks.