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Investment Banking Contract Template for Saudi Arabia

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Key Requirements PROMPT example:

Investment Banking Contract

"I need an Investment Banking Contract for a Saudi-based technology company engaging an investment bank for M&A advisory services and capital raising, with specific provisions for cross-border transactions and Shariah compliance, to be effective from March 2025."

Document background
The Investment Banking Contract serves as the primary legal framework for investment banking relationships in Saudi Arabia, typically used when engaging investment banks for services such as financial advisory, mergers and acquisitions, capital raising, or restructuring services. This document is essential for compliance with Saudi Arabian regulatory requirements, including those set by the Capital Market Authority (CMA) and the Saudi Central Bank (SAMA). It must incorporate Sharia compliance elements and reflect the Kingdom's commitment to Islamic finance principles. The contract typically includes detailed service scope definitions, fee structures, regulatory compliance requirements, and risk allocation provisions. It's particularly important for significant financial transactions and requires careful consideration of both local and international banking practices while maintaining alignment with Saudi Arabia's Vision 2030 financial sector development goals.
Suggested Sections

1. Parties: Identification of the investment bank and the client, including full legal names, registration details, and addresses

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

3. Definitions: Detailed definitions of terms used throughout the agreement, including financial, technical, and legal terms

4. Scope of Services: Detailed description of investment banking services to be provided, including specific deliverables and exclusions

5. Appointment and Authority: Formal appointment of the investment bank and extent of its authority to act on behalf of the client

6. Fees and Payment Terms: Comprehensive fee structure, including retainer fees, success fees, expenses, and payment schedules

7. Representations and Warranties: Statements of fact and assurances from both parties regarding their capacity, authority, and compliance with laws

8. Obligations of the Parties: Detailed responsibilities and commitments of both the investment bank and the client

9. Confidentiality: Provisions regarding the protection and handling of confidential information

10. Compliance with Laws: Commitment to comply with Saudi regulations, including CMA regulations and Sharia principles

11. Term and Termination: Duration of the agreement and circumstances under which it can be terminated

12. Governing Law and Jurisdiction: Specification of Saudi law as governing law and jurisdiction for dispute resolution

Optional Sections

1. Sharia Compliance: Detailed provisions ensuring compliance with Islamic finance principles, required when dealing with Sharia-compliant products

2. International Transactions: Additional provisions for cross-border services, required when dealing with international clients or transactions

3. Exclusivity: Terms regarding exclusive rights of the investment bank, included when exclusive arrangements are negotiated

4. Force Majeure: Provisions for unforeseen circumstances, recommended for long-term engagements

5. Non-Solicitation: Restrictions on hiring personnel, included when protecting against staff poaching

6. Intellectual Property: Protection of IP rights, required when dealing with proprietary methods or technologies

7. Anti-Corruption: Additional anti-corruption provisions, recommended for international transactions

8. Data Protection: Specific data handling requirements, necessary when dealing with personal or sensitive data

Suggested Schedules

1. Schedule 1 - Fee Structure: Detailed breakdown of all fees, including calculation methods and payment schedules

2. Schedule 2 - Scope of Services: Detailed description of specific services, deliverables, and timelines

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 compliance requirements applicable to the engagement

5. Schedule 5 - Required Disclosures: Mandatory disclosures required by Saudi regulations and CMA guidelines

6. Appendix A - Power of Attorney: If required, specific authorizations granted to the investment bank

7. Appendix B - Client Information Form: KYC and client due diligence documentation

8. Appendix C - Service Level Agreement: Specific performance metrics and service standards

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

Corporate Finance

Private Equity

Mergers & Acquisitions

Capital Markets

Islamic Finance

Infrastructure & Project Finance

Real Estate

Energy & Resources

Technology

Relevant Teams

Legal

Compliance

Corporate Finance

Investment Banking

Risk Management

Treasury

Islamic Banking

Financial Control

Business Development

Executive Management

Board of Directors

Mergers & Acquisitions

Capital Markets

Advisory Services

Relevant Roles

Chief Executive Officer

Chief Financial Officer

Investment Banking Director

Corporate Finance Manager

Legal Counsel

Compliance Officer

Sharia Compliance Officer

Risk Manager

Transaction Advisory Director

Investment Director

Managing Director

Board Member

Financial Controller

Treasury Manager

Business Development Director

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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