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Investment Banking Agreement Template for Saudi Arabia

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Key Requirements PROMPT example:

Investment Banking Agreement

"I need an Investment Banking Agreement for a Saudi-based technology company seeking capital raising and M&A advisory services, with the agreement to commence on March 1, 2025, and include specific provisions for cross-border transactions and international fundraising."

Document background
The Investment Banking Agreement is a crucial document used to establish and govern the professional relationship between an investment bank and its client in Saudi Arabia. It is typically implemented when a company seeks comprehensive investment banking services such as financial advisory, capital raising, mergers and acquisitions support, or strategic guidance. The agreement must comply with Saudi Arabian law, including regulations from SAMA and the CMA, while incorporating Shariah compliance principles. It details the scope of services, fee structures, exclusivity provisions, confidentiality obligations, and risk allocation between parties. This document serves as the foundation for all subsequent investment banking transactions and is essential for ensuring regulatory compliance and clear understanding between parties in the Saudi Arabian market.
Suggested Sections

1. Parties: Identification of the investment bank and the client, including full legal names, commercial registration numbers, and authorized representatives

2. Background: Context of the agreement, relationship background, and general purpose of the engagement

3. Definitions: Key terms used throughout the agreement, including regulatory, technical, and financial terminology

4. Appointment and Scope of Services: Detailed description of investment banking services to be provided and the exclusive/non-exclusive nature of the appointment

5. Bank's Obligations: Specific duties and responsibilities of the investment bank, including service delivery standards and regulatory compliance

6. Client's Obligations: Client's responsibilities, including information provision, cooperation requirements, and compliance obligations

7. Fees and Payment Terms: Detailed fee structure, payment schedules, expenses, and terms for success fees or commissions

8. Shariah Compliance: Provisions ensuring compliance with Islamic financial principles and requirements

9. Representations and Warranties: Standard and specific representations by both parties regarding capacity, authority, and compliance

10. Confidentiality: Obligations regarding confidential information, data protection, and permitted disclosures

11. Regulatory Compliance: Compliance with SAMA, CMA, and other applicable Saudi regulations

12. Term and Termination: Duration of the agreement, renewal terms, and termination rights

13. Liability and Indemnification: Allocation of risks, limitation of liability, and indemnification obligations

14. Force Majeure: Events excusing performance and related procedures

15. Governing Law and Jurisdiction: Saudi Arabian law as governing law and jurisdiction for dispute resolution

16. General Provisions: Standard boilerplate clauses including notices, amendments, and assignment

Optional Sections

1. Islamic Finance Advisory: Additional section when specific Islamic finance advisory services are included

2. International Transactions: Additional provisions for cross-border transactions or international clients

3. Syndication Provisions: Required when the agreement involves syndicated transactions or multiple financial institutions

4. Research Services: Additional terms when research services are part of the engagement

5. Corporate Finance Advisory: Specific provisions for corporate finance advisory services

6. Asset Management: Terms specific to asset management services if included in the scope

7. Underwriting Services: Provisions specific to underwriting commitments and related services

8. Anti-corruption Compliance: Enhanced compliance provisions for high-risk transactions or jurisdictions

Suggested Schedules

1. Schedule 1 - Scope of Services: Detailed breakdown of all investment banking services to be provided

2. Schedule 2 - Fee Schedule: Comprehensive fee structure including all types of fees, commissions, and expenses

3. Schedule 3 - Key Personnel: List of key team members and their roles in providing the services

4. Schedule 4 - Compliance Requirements: Specific regulatory and Shariah compliance requirements applicable to the engagement

5. Schedule 5 - Client Information Requirements: Details of information and documentation to be provided by the client

6. Schedule 6 - Service Level Standards: Performance metrics and service delivery standards

7. Appendix A - Required Regulatory Disclosures: Mandatory disclosures required by SAMA and CMA regulations

8. Appendix B - Form of Engagement Letters: Templates for specific transaction engagement letters

9. Appendix C - Shariah Guidelines: Specific Shariah compliance guidelines and requirements

Authors

Alex Denne

Head of Growth (Open Source Law) @ 黑料视频 | 3 x UCL-Certified in Contract Law & Drafting | 4+ Years Managing 1M+ Legal Documents | Serial Founder & Legal AI Author

Relevant legal definitions














































Clauses









































Relevant Industries

Financial Services

Banking

Investment Management

Private Equity

Real Estate

Infrastructure

Energy

Manufacturing

Technology

Healthcare

Telecommunications

Mining and Minerals

Retail

Transportation and Logistics

Relevant Teams

Legal

Compliance

Finance

Corporate Development

Treasury

Risk Management

Investment Banking

Corporate Finance

Business Development

Board Secretariat

Shariah Advisory

Operations

Relevant Roles

Chief Executive Officer

Chief Financial Officer

General Counsel

Head of Investment Banking

Managing Director

Investment Banking Director

Corporate Finance Manager

Compliance Officer

Legal Counsel

Risk Manager

Treasury Manager

Business Development Director

Financial Controller

Company Secretary

Board Member

Shariah Compliance Officer

Industries










Teams

Employer, Employee, Start Date, Job Title, Department, Location, Probationary Period, Notice Period, Salary, Overtime, Vacation Pay, Statutory Holidays, Benefits, Bonus, Expenses, Working Hours, Rest Breaks, 聽Leaves of Absence, Confidentiality, Intellectual Property, Non-Solicitation, Non-Competition, Code of Conduct, Termination, 聽Severance Pay, Governing Law, Entire Agreemen

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