Request for Investment Proposal Template

REQUEST FOR INVESTMENT PROPOSAL (RFIP) AND ENGAGEMENT FRAMEWORK

Document ID: INV-PROC-2024-001
Effective Date: [Effective Date]
Version: 1.0
Governing Jurisdiction: [State/Country, e.g., State of Delaware]

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1. STATUTORY & LEGAL COMPLIANCE NOTICE

This document is provided for professional informational purposes and constitutes a formal template for legal engagement. It does not constitute investment advice or a binding solicitation of securities under the Securities Act of 1933 or equivalent local regulations. Parties are advised to consult with counsel regarding local blue-sky laws, jurisdictional tax implications, and regulatory filings prior to execution.

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2. PARTIES & RECITALS

This Request for Investment Proposal ("Agreement") is entered into by and between:

[Company Full Legal Name], a corporation organized and existing under the laws of [Jurisdiction], with its principal place of business at [Principal Address] ("Company"), and

[Investor/Client Full Legal Name], a [Entity Type] organized under the laws of [Jurisdiction], with its principal place of business at [Principal Address] ("Counterparty").

Recitals: WHEREAS, Company seeks capital investment and professional advisory services for the project described herein; and WHEREAS, Counterparty desires to evaluate the investment opportunity and provide the terms under which such capital may be deployed, subject to the terms and conditions herein.

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3. OPERATIVE CLAUSES

3.1. Scope of Services

Counterparty shall submit a formal Investment Proposal detailing the proposed capital infusion of USD [Amount in USD], including the proposed equity valuation, debt instrument terms, or convertible security structures. Company shall provide necessary due diligence documentation, including but not limited to financial statements, cap tables, and legal disclosures.

3.2. Compensation & Payment Terms

Any service fees related to the processing of this proposal shall be invoiced net 30. Late payments shall accrue interest at the lesser of 1.5% per month or the maximum rate permitted by law. All payments shall be made in USD via wire transfer to the account designated by the Company.

3.3. Term & Termination

This Agreement shall commence on the Effective Date and remain in effect until the execution of a Definitive Investment Agreement or written notice of termination. Either party may terminate for convenience upon thirty (30) days’ written notice. In the event of a material breach, the non-breaching party shall provide fifteen (15) days’ written notice to cure; failure to cure within said period shall result in immediate termination.

3.4. Intellectual Property

All work product, models, and investment strategies developed by the Company during the term of this engagement shall remain the sole and exclusive property of the Company. Counterparty acknowledges that no license or transfer of intellectual property rights is granted by virtue of this proposal process.

3.5. Confidentiality & Non-Disclosure

Both parties agree to hold all non-public information, including financial projections and trade secrets, in strict confidence. Parties shall not disclose such information to third parties without prior written consent, except as required by law. This obligation survives the termination of this Agreement for a period of three (3) years.

3.6. Representations & Warranties

Each party represents and warrants that it has the full power, authority, and legal right to enter into this Agreement and that the execution hereof does not conflict with any other contractual obligation.

3.7. Limitation of Liability & Indemnification

To the maximum extent permitted by law, neither party shall be liable for indirect, incidental, or consequential damages. Each party agrees to indemnify and hold harmless the other from any third-party claims arising from a breach of this Agreement, excluding instances of gross negligence or willful misconduct by the indemnitee.

3.8. Dispute Resolution & Arbitration

Any dispute arising out of or relating to this Agreement shall be settled by binding arbitration in [Jurisdiction/City], administered by the American Arbitration Association in accordance with its Commercial Arbitration Rules. Judgment on the award rendered by the arbitrator(s) may be entered in any court having jurisdiction thereof.

3.9. Governing Law

This Agreement shall be governed by, and construed in accordance with, the laws of [State/Country], without regard to its conflict of law principles.

3.10. Miscellaneous

• Severability: If any provision is held invalid, the remainder of the Agreement shall remain in full force.
• Counterparts: This Agreement may be executed in counterparts, each of which shall be deemed an original.
• Entire Agreement: This document constitutes the entire understanding between parties and supersedes all prior discussions or agreements.

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4. EXECUTION & SIGNATURE BLOCKS

FOR [COMPANY FULL LEGAL NAME]: Signature: _____________________________________ Printed Name: [Authorized Signatory Name] Title: [Title / Role] Date: [Date]

FOR [CLIENT/COUNTERPARTY FULL LEGAL NAME]: Signature: _____________________________________ Printed Name: [Authorized Signatory Name] Title: [Title / Role] Date: [Date]

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5. STEP-BY-STEP EXECUTION & FILING GUIDE

1. Drafting: Use the [ ] brackets as prompts to populate specific business data. Ensure numerical values for investments include currency identifiers.
2. Legal Review: Prior to distribution, counsel should cross-reference the "Governing Jurisdiction" and "Arbitration" clauses against local venue preference.
3. Authority Verification: Ensure the signatory possesses a Board Resolution or Power of Attorney granting them authority to bind the entity to financial or investment-related contracts.
4. Digital Signature: Upload the final document to a platform such as DocuSign or Adobe Sign. Use the "Add Signature" field for both parties. Ensure the audit trail feature is enabled to capture IP addresses and timestamps.
5. Record Retention: Post-execution, the original signed document must be digitized (PDF/A) and stored in a secure, encrypted corporate repository (e.g., SharePoint, Box, or DocuSign CLM) with a retention period consistent with your corporate document destruction policy (typically 7 years).